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
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a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing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
Jan 25, 2013 Regulatory Notice 13-06
SEC Approves Amendments to Rule 8210
Effective Date: February 25, 2013
Jan 24, 2013 Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Comment Period Expired: February 25, 2013
Jan 24, 2013 Information Notice - 1/24/13
November 2012 Supplement to the Options Disclosure Document
Jan 18, 2013 Regulatory Notice 13-04
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Jan 7, 2013 Regulatory Notice 13-03
FINRA Provides Guidance on New Rules Governing Communications With the Public
Jan 4, 2013 Regulatory Notice 13-02
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expired: March 5, 2013
Jan 2, 2013 Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 1, 2013
Dec 27, 2012 Regulatory Notice 12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Dec 21, 2012 Regulatory Notice 12-57
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Effective Date: January 22, 2013
Dec 20, 2012 Regulatory Notice 12-56
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions
Effective Date: July 22, 2013
Dec 10, 2012 Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule
Dec 10, 2012 Information Notice - 12/10/12
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 7, 2012 Regulatory Notice 12-54
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
Dec 6, 2012 Election Notice - 12/6/12
FINRA Announces Results of SFAB, NAC and District Committee Elections
Dec 3, 2012 Regulatory Notice 12-52
SEC Approves Consolidated Front Running Rule
Effective Date: June 1, 2013
Update: 5/3/13: The effective date for compliance with FINRA Rule 5270 has been extended to September 3, 2013. Original Effective Date: June 1, 2013
Dec 3, 2012 Regulatory Notice 12-53
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Dec 3, 2012 Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Nov 26, 2012 Information Notice - 11/26/12
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act

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