Notices
FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.
FINRA also provides a Subject Index of Notices.
Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.
| Date of Pub | Title | Description |
|---|---|---|
| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017
The District 1 Small Firm seat is no longer contested. Ballots will not be distributed. |
| Oct 18, 2017 | Regulatory Notice 17-34 |
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Comment Period Expires: December 18, 2017
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| Oct 18, 2017 | Regulatory Notice 17-33 |
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Comment Period Expires: December 18, 2017
|
| Oct 17, 2017 | Information Notice – 10/17/17 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Oct 16, 2017 | Regulatory Notice 17-32 |
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
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| Oct 5, 2017 | Regulatory Notice 17-31 |
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Implementation Date: October 5, 2017
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| Oct 5, 2017 | Regulatory Notice 17-30 |
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Effective Date: October 1, 2018
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| Oct 4, 2017 | Regulatory Notice 17-29 |
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Effective Date: October 9, 2017
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| Sep 29, 2017 | Regulatory Notice 17-28 |
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: June 25, 2018
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| Sep 8, 2017 | Election Notice – 9/8/17 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
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| Sep 8, 2017 | Election Notice – 9/8/17 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
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| Aug 30, 2017 | Regulatory Notice 17-27 |
Guidance to Members Affected by Hurricane Harvey
FINRA is extending the regulatory relief included in this Notice to firms affected by Hurricanes Irma and Maria. |
| Aug 24, 2017 | Regulatory Notice 17-26 |
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Effective Date: October 23, 2017
|
| Aug 21, 2017 | Election Notice – 8/21/17 |
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
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| Aug 18, 2017 | Regulatory Notice 17-25 |
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
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| Jul 21, 2017 | Election Notice – 7/21/17 |
Notice of Annual Meeting of FINRA Firms and Proxy
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| Jul 12, 2017 | Regulatory Notice 17-24 |
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
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| Jul 11, 2017 | Regulatory Notice 17-23 |
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Effective Date: October 2, 2017
|
| Jun 12, 2017 | Trade Reporting Notice – 6/12/17 |
Effective Date for Required Use of TRACE for Treasuries Modifiers
|
| Jun 9, 2017 | Information Notice – 6/9/17 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: July 4, 2017
|
| Jun 7, 2017 | Regulatory Notice 17-22 |
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Effective Date: December 15, 2016
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| May 31, 2017 | Regulatory Notice 17-21 |
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017; Implementation Date for changes relating to MSRB Rules: October 1, 2017
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| May 23, 2017 | Election Notice - 5/23/17 |
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
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| May 15, 2017 | Regulatory Notice 17-20 |
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
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| May 11, 2017 | Regulatory Notice 17-19 |
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Effective Date: September 5, 2017
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