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 Pubsort ascending Title Description
Sep 17, 2014 Regulatory Notice 14-36
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
Sep 16, 2014 Regulatory Notice 14-35
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
Sep 3, 2014 Election Notice - 9/3/14
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 3, 2014
Sep 3, 2014 Election Notice - 9/3/14
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 3, 2014
This Election Notice was updated on 9/4/14 to include an additional partial term vacancy for District 5.
Aug 26, 2014 Regulatory Notice 14-34
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Effective Date: June 1, 2015

3/3/15: The effective date has been extended from April 27, 2015, to June 1, 2015.

Aug 14, 2014 Regulatory Notice 14-33
FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 2014
Aug 6, 2014 Regulatory Notice 14-32
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
Implementation Date: August 12, 2014
Aug 1, 2014 Election Notice - 8/1/14
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 15, 2014
Jul 30, 2014 Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Jul 11, 2014 Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Effective Date: July 11, 2014
Jul 11, 2014 Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Jul 10, 2014 Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
Jul 9, 2014 Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 2, 2014 Regulatory Notice 14-29
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
Jun 30, 2014 Regulatory Notice 14-27
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Jun 30, 2014 Regulatory Notice 14-28
SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
Jun 27, 2014 Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
Jun 23, 2014 Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
May 23, 2014 Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
May 16, 2014 Regulatory Notice 14-23
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Effective Date: June 16, 2014
May 15, 2014 Regulatory Notice 14-21
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015

The effective date for ADF and TRFs (remaining amendments) has been extended to July 13, 2015. Original effective date: April 20, 2015.

The effective date for ADF and TRFs (remaining amendments) has been extended to April 20, 2015. Original effective date: First Quarter 2015.

The effective date for ADF and TRFs (millisecond reporting) has been extended to November 10, 2014. Original effective date: September 29, 2014.

The effective date for ORF has been extended to November 17, 2014. Original effective date: September 15, 2014.

May 15, 2014 Regulatory Notice 14-22
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Effective Date: May 15, 2014
May 7, 2014 Regulatory Notice 14-20
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Implementation Date: October 1, 2014
May 6, 2014 Election Notice - 5/6/14
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 2014
Apr 30, 2014 Regulatory Notice 14-18
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Implementation Date: June 16, 2014

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