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
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
Nov 20, 2012 Information Notice - 11/20/12
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Nov 2, 2012 Regulatory Notice 12-50
SEC Approves Amendments Relating to Stop Orders
Effective Date: March 4, 2013
Update 1/9/13: The effective date for compliance with Rule 5350 has been extended to March 4, 2013. Original Effective Date: January 21, 2013
Nov 2, 2012 Regulatory Notice 12-51
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
Nov 1, 2012 Regulatory Notice 12-49
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Effective Dates: April 5, 2012, and October 11, 2012
Nov 1, 2012 Regulatory Notice 12-48
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Revised Effective Date: November 12, 2012
Oct 31, 2012 Regulatory Notice 12-47
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Dates: May 1, 2013 and 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.
Oct 31, 2012 Regulatory Notice 12-46
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Payment Deadline: December 13, 2012

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