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
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
Aug 2, 2013 Election Notice - 8/2/13
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Aug 1, 2013 Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Jul 22, 2013 Regulatory Notice 13-24
FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: July 22, 2013
Jul 18, 2013 Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Jul 5, 2013 Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Jun 28, 2013 Regulatory Notice 13-22
FINRA Revises the Series 55 Examination Program
Implementation Date: August 12, 2013
Jun 5, 2013 Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Jun 3, 2013 Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
May 28, 2013 Regulatory Notice 13-20
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Effective Date: Thursday, June 27, 2013
May 23, 2013 Regulatory Notice 13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Effective Date: November 4, 2013
May 10, 2013 Election Notice - 5/10/13
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 24, 2013
May 2, 2013 Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
May 1, 2013 Information Notice - 5/1/13
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
Apr 18, 2013 Regulatory Notice 13-17
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Apr 17, 2013 Regulatory Notice 13-16
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2013
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38.
Apr 17, 2013 Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Apr 12, 2013 Regulatory Notice 13-15
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Effective Date: July 22, 2013
Apr 12, 2013 Regulatory Notice 13-14
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Apr 12, 2013 Information Notice - 4/13/13
Continuing Education Planning
Apr 9, 2013 Regulatory Notice 13-13
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Effective Date: May 9, 2013

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