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
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
Aug 1, 2012 Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
Jul 18, 2012 Regulatory Notice 12-36
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Effective Dates: November 30, 2012, 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.
Jul 9, 2012 Election Notice - 7/9/12
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 6, 2012 Regulatory Notice 12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Effective Date: August 6, 2012
Jul 5, 2012 Regulatory Notice 12-34
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expired: August 31, 2012
Jul 5, 2012 Regulatory Notice 12-33
Regulatory Notice 12-33
Implementation Date: July 23, 2012
The July 23, 2012, implementation date for required use of the new electronic Form CMA has been revised by SR-FINRA-2012-036 to August 27, 2012. However, firms may begin using the electronic Form CMA on July 23, 2012. The implementation date for the amended electronic Form NMA remains July 23, 2012.
Jun 26, 2012 Regulatory Notice 12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
Effective Dates: July 2, 2012: Advertising and Corporate Financing fees; July 23, 2012: New and Continuing Membership Application fees; January 2, 2013: CRD and Branch Office Annual Reg. fees
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.

Pages