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 Titlesort descending Description
Oct 14, 2015 Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 2015
Oct 20, 2017 Election Notice – 10/20/17
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017

The District 1 Small Firm seat is no longer contested. Ballots will not be distributed.

Oct 20, 2017 Election Notice – 10/20/17
Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
Oct 20, 2017 Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
Dec 18, 2015 Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Dec 20, 2016 Election Notice – 12/20/16
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Mar 10, 2016 Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Mar 9, 2017 Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
May 2, 2017 Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Jun 21, 2016 Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: August 5, 2016
Jun 30, 2015 Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 21, 2017 Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 28, 2015 Election Notice – 7/28/15
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 11, 2015
Aug 12, 2016 Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
Aug 19, 2016 Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016.
Aug 21, 2017 Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
Sep 2, 2015 Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
Sep 2, 2015 Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
Sep 7, 2016 Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
Sep 7, 2016 Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
Sep 8, 2017 Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
Sep 8, 2017 Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
Feb 7, 2011 Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Jan 20, 2015 Information Notice - 1/20/15
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
Jan 24, 2013 Information Notice - 1/24/13
November 2012 Supplement to the Options Disclosure Document

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