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
Mar 10, 2010 Information Notice - 3/10/10
Information Notice 3/10/10
Effective Date: April 1, 2010
Mar 12, 2008 Information Notice - 3/12/08
Rulebook Consolidation Process
Mar 16, 2009 Information Notice - 3/16/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 10, 2009
Mar 18, 2015 Information Notice - 3/18/15
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Mar 24, 2010 Information Notice - 3/24/10
New Firm Requirement to Designate a Super Account Administrator
Mar 3, 2014 Information Notice - 3/3/14
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: March 18, 2014
Mar 31, 2015 Information Notice - 3/31/15
FINRA Survey to Create the Securities Trader Qualification Examination
Mar 8, 2012 Information Notice - 3/8/12
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
Apr 1, 2008 Information Notice - 4/1/08
FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Effective Date: April 1, 2008
Apr 10, 2015 Information Notice - 4/10/15
Continuing Education Planning
Apr 11, 2014 Information Notice - 4/11/14
Continuing Education Planning
Apr 13, 2012 Information Notice - 4/13/12
Continuing Education Planning
Apr 12, 2013 Information Notice - 4/13/13
Continuing Education Planning
Apr 15, 2011 Information Notice - 4/15/11
Continuing Education Planning
Apr 2, 2012 Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
Apr 20, 2010 Information Notice - 4/20/10
Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10.
Apr 20, 2011 Information Notice - 4/20/11
March 2011 Supplement to the Options Disclosure Document
May 1, 2013 Information Notice - 5/1/13
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
May 15, 2008 Information Notice - 5/15/08
April 2008 Supplement to the Options Disclosure Document
May 20, 2009 Information Notice - 5/20/09
Continuing Education Planning
May 26, 2010 Information Notice - 5/26/10
DTCC to Provide FINRA Access to Participant Position Reports
May 7, 2018 Information Notice - 5/7/18
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
Jun 28, 2011 Information Notice - 6/28/11
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11.
Jun 5, 2013 Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Jun 6, 2011 Information Notice - 6/6/11
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940

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