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
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
Mar 25, 2013 Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013

In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.

Mar 6, 2013 Regulatory Notice 13-12
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Effective Date: April 8, 2013
Mar 6, 2013 Regulatory Notice - 13-11
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
Effective Date: Immediately
Mar 4, 2013 Regulatory Notice - 13-10
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The initial supplemental schedule disclosing off-balance sheet information as of June 30, 2013, must be filed with FINRA on or before July 31, 2013.
The OBS was updated on April 5, 2016. See Regulatory Notice 16-11. Use the updated version and its corresponding instructions when submitting the OBS through the eFOCUS platform. 
Feb 28, 2013 Regulatory Notice - 13-09
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
Effective Date: June 10, 2013
Feb 15, 2013 Regulatory Notice 13-08
FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
Implementation Dates: March 4, 2013, and July 1, 2013
Jan 31, 2013 Regulatory Notice 13-07
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: April 1, 2013

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