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 Titlesort descending Description
Jun 9, 2008 Information Notice - 6/9/08
Continuing Education Planning
Jul 1, 2009 Information Notice - 7/1/09
New FTC Red Flags Rule Template
Note: FTC's Red Flags Rule Enforcement began Jan 1, 2011. On July 21, 2011, the Dodd-Frank Act transferred responsibility for identity theft red flag rules and guidelines to the SEC and CFTC for the entities they regulate. On February 28, 2012, the SEC and CFTC jointly proposed for comment red flag rules and guidelines that are substantially similar to the FTC’s and do not propose new requirements or cover new entities. The comment period closed May 7, 2012.
Aug 1, 2012 Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
Aug 26, 2008 Information Notice - 8/26/08
June 2008 Supplement to the Options Disclosure Document
Aug 28, 2012 Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Aug 3, 2010 Information Notice - 8/3/10
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
Sep 15, 2008 Information Notice - 9/15/08
Loose-Leaf FINRA Manual Subscription
Sep 20, 2007 Information Notice - 9/20/07
Fingerprint Processing Fees
Sep 20, 2013 Information Notice - 9/20/13
New S901 Regulatory Element Continuing Education Program
Sep 25, 2014 Information Notice - 9/25/14
Individual Snapshot Reports Now Available Online
Sep 7, 2010 Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
Oct 2, 2009 Information Notice 10/2/09
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Oct 7, 2014 Information Notice 10/7/14
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Nov 9, 2009 Information Notice 11/09/09
Changes to the S101 and S106 Regulatory Element Continuing Education Programs
Nov 26, 2007 Information Notice 11/26/07
Continuing Education Planning
Dec 9, 2009 Information Notice 12/09/09
Certification of Annual Audits
Dec 14, 2009 Information Notice 12/14/09
2010 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 24, 2009 Information Notice 12/24/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 15, 2010
Dec 29, 2009 Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Feb 29, 2012 Information Notice 2/9/12
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Apr 15, 2010 Information Notice 4/15/10
Continuing Education Planning
Apr 29, 2009 Information Notice 4/29/09
Use of FINRA Logo
Jun 15, 2010 Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Jul 10, 2014 Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
Aug 17, 2012 Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012

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