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 25, 2013 Election Notice - 11/25/13
Small Firm Advisory Board Runoff Election
Nov 15, 2013 Regulatory Notice 13-40
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Nov 12, 2013 Information Notice - 11/12/13
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Nov 7, 2013 Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
Nov 1, 2013 Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
Nov 1, 2013 Regulatory Notice 13-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
Oct 31, 2013 Regulatory Notice 13-36
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
Oct 30, 2013 Regulatory Notice 13-35
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
Oct 25, 2013 Information Notice - 10/25/13
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
Oct 23, 2013 Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014
Oct 18, 2013 Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 18, 2013 Information Notice - 10/18/13
Continuing Education Planning
Oct 16, 2013 Election Notice 10/16/13
Notice of FINRA District Committee Elections and Ballots
Oct 16, 2013 Election Notice 10/16/13
Notice of SFAB Election and Ballots
Oct 9, 2013 Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Effective Date: September 26, 2013
Sep 25, 2013 Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Sep 23, 2013 Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Sep 20, 2013 Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Comment Period Expired: November 4, 2013
Sep 20, 2013 Information Notice - 9/20/13
New S901 Regulatory Element Continuing Education Program
Sep 4, 2013 Election Notice - 9/4/13
Upcoming Election to Fill FINRA District Committee Vacancies
Sep 4, 2013 Election Notice - 9/4/13
FINRA Small Firm Advisory Board Election
Aug 28, 2013 Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
Aug 20, 2013 Regulatory Notice 13-27
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013
Aug 19, 2013 Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Aug 16, 2013 Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning

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