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
Dec 18, 2018 Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Dec 17, 2018 Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Dec 10, 2018 Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Effective Date: January 7, 2019
Dec 4, 2018 Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Dec 3, 2018 Regulatory Notice 18-39
Unexpected Close of Securities Markets
Nov 20, 2018 Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 16, 2018 Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Nov 5, 2018 Regulatory Notice 18-38
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Oct 31, 2018 Regulatory Notice 18-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
Oct 29, 2018 Election Notice – 10/29/18
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: Thursday, December 13, 2018
Oct 19, 2018 Regulatory Notice 18-36
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Implementation Date: November 19, 2018
Oct 16, 2018 Regulatory Notice 18-35
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
Oct 16, 2018 Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Oct 16, 2018 Election Notice – 10/16/18
Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
Oct 16, 2018 Election Notice – 10/16/18
Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
Oct 4, 2018 Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Effective Date: April 1, 2019
Oct 2, 2018 Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
Sep 28, 2018 Regulatory Notice 18-33
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
Sep 24, 2018 Regulatory Notice 18-32
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
Sep 24, 2018 Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

The Notice was updated on September 28, 2018.

Sep 14, 2018 Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Sep 13, 2018 Regulatory Notice 18-30
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Effective Date: December 3, 2018 (enhancements to the REX System to provide firms the ability to submit Securities Exchange Act (SEA) Rule 15c3-3(d)(4) extension of time requests via a batch file process and other updates to the extension of time request forms); February 25, 2019 (updates to data and validation requirements for extension of time requests under Regulation T and SEA Rule 15c3-3)

The effective date of the online enhancements and the ability to file SEA Rule 15c3-3(d)(4) extensions of time requests via the batch process will be delayed to January 7, 2019 (rather than December 3, 2018). The second Testing Cycle will still start on December 10, 2018 (rather than December 3, 2018) and end on February 18, 2019.

Sep 12, 2018 Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Sep 11, 2018 Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Comment Period Expires: November 12, 2018
Sep 6, 2018 Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018

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