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
Apr 27, 2016 Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
Apr 22, 2016 Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
Apr 20, 2016 Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Apr 18, 2016 Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Apr 5, 2016 Regulatory Notice 16-11
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016.
Apr 4, 2016 Regulatory Notice 16-10
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Mar 15, 2016 Information Notice – 3/15/16
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Mar 10, 2016 Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Mar 4, 2016 Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
Feb 8, 2016 Regulatory Notice 16-08
Private Placements and Public Offerings Subject to a Contingency
Jan 29, 2016 Regulatory Notice 16-07
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other Than Registration Requirements): May 16, 2016
Jan 29, 2016 Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
Jan 26, 2016 Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Jan 20, 2016 Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
Jan 20, 2016 Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Jan 15, 2016 Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Effective Date: December 20, 2015
Jan 14, 2016 Regulatory Notice 16-03
SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
Jan 11, 2016 Regulatory Notice 16-02
FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
Jan 8, 2016 Information Notice – 1/8/16
Use of FINRA Logo
Jan 4, 2016 Regulatory Notice 16-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 15, 2016
Dec 22, 2015 Information Notice – 12/22/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
Dec 22, 2015 Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 18, 2015 Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Dec 14, 2015 Information Notice – 12/14/15
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Dec 9, 2015 Regulatory Notice 15-52
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers

Pages