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Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Regulatory Notice 14-07
SEC Approves New Requirements for Alternative Trading Systems
Implementation Dates: May 12, 2014 (ATS Reporting Requirement); November 10, 2014 (MPID Requirement)
On October 2, 2014, FINRA filed a rule change to postpone the implementation date for the MPID requirement to February 2, 2015. On April 3, 2014, FINRA filed a rule change to amend FINRA Rule 4552 to exclude transactions in TRACE-eligible securities from the ATS weekly reporting requirements outlined in Rule 4552 and to amend the MPID requirement.
Regulatory Notice 14-07
SEC Approves New Requirements for Alternative Trading Systems
Implementation Dates: May 12, 2014 (ATS Reporting Requirement); November 10, 2014 (MPID Requirement)
On October 2, 2014, FINRA filed a rule change to postpone the implementation date for the MPID requirement to February 2, 2015. On April 3, 2014, FINRA filed a rule change to amend FINRA Rule 4552 to exclude transactions in TRACE-eligible securities from the ATS weekly reporting requirements outlined in Rule 4552 and to amend the MPID requirement.
Regulatory Notice 14-08
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That*
Regulatory Notice 14-09
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Comment Period Expires: April 28, 2014
Information Notice - 3/3/14
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: March 18, 2014
Regulatory Notice 14-11
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Implementation Date: April 7, 2014
Regulatory Notice 14-10
SEC Approves New Supervision Rules
Effective Date: December 1, 2014*

4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11).

Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Effective Date: April 2, 2014
Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014*

The comment period has been extended to May 23, 2014.

Regulatory Notice 14-15
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014*

The comment period has been extended to May 23, 2014.

Regulatory Notice 14-16
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 4/11/14
Continuing Education Planning
Regulatory Notice 14-17
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 14-18
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Implementation Date: June 16, 2014
Regulatory Notice 14-19
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
Election Notice - 5/6/14
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 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
Regulatory Notice 14-22
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Provide an Exemption From the Filing Requirements for Certain Collective Investment Vehicles; and Clarify the Electronic Filing Requirement*
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.

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
Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 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
Regulatory Notice 14-28
SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
Regulatory Notice 14-28
SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 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
Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
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
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
Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 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
Regulatory Notice 14-32
FINRA Amends FINRA Rule 9120 and the Definition of "Hearing Officer"
Implementation Date: August 12, 2014
Regulatory Notice 14-33
FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 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: April 27, 2015*

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

Election Notice - 9/3/14
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 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.

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