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
Nov 21, 2017 Regulatory Notice 17-40
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Nov 21, 2017 Information Notice – 11/21/17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 15, 2017 Regulatory Notice 17-39
SEC Approves the CAT Fee Dispute Resolution Process
Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
Nov 13, 2017 Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
Comment Period Expires: January 12, 2018
Nov 6, 2017 Regulatory Notice 17-37
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
Effective Date: December 6, 2017
Nov 3, 2017 Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Effective Date: February 1, 2018
Oct 31, 2017 Regulatory Notice 17-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
Payment Deadline: December 18, 2017
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 20, 2017 Election Notice – 10/20/17
Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
Oct 20, 2017 Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
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
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
Oct 16, 2017 Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
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
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
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
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
Sep 8, 2017 Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
Sep 8, 2017 Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
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
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
Jul 21, 2017 Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy

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