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 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
Oct 30, 2012 Regulatory Notice 12-45
Guidance to Members Affected by Hurricane Sandy
Oct 26, 2012 Regulatory Notice 12-44
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Effective Dates: October 26, 2012, and January 23, 2013
Oct 19, 2012 Regulatory Notice 12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 19, 2012 Information Notice - 10/19/12
Continuing Education Planning
Oct 17, 2012 Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
Oct 17, 2012 Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
Oct 17, 2012 Election Notice - 10/17/12
Notice of FINRA District Committee Election and Ballots
This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3.
Oct 11, 2012 Regulatory Notice 12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.
Sep 26, 2012 Regulatory Notice 12-41
FINRA Amends the TAF Rate for Transactions in Covered Security Futures
Effective Date: October 1, 2012
Sep 5, 2012 Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
Sep 5, 2012 Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: October 10, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.)
Sep 5, 2012 Election Notice - 9/5/12
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 5, 2012
Sep 5, 2012 Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 5, 2012
Aug 28, 2012 Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Aug 24, 2012 Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Effective Date: November 30, 2012
Aug 17, 2012 Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
Aug 3, 2012 Regulatory Notice 12-37
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Effective Date: November 5, 2012
The implementation date has been delayed until November 12, 2012.
Aug 3, 2012 Election Notice - 8/3/12
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council

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