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 ascending Description
Apr 18, 2016 Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Apr 5, 2016 Regulatory Notice 16-11
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016.
Apr 4, 2016 Regulatory Notice 16-10
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Mar 4, 2016 Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
Feb 8, 2016 Regulatory Notice 16-08
Private Placements and Public Offerings Subject to a Contingency
Jan 29, 2016 Regulatory Notice 16-07
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other Than Registration Requirements): May 16, 2016
Jan 29, 2016 Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
Jan 26, 2016 Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Jan 15, 2016 Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Effective Date: December 20, 2015
Jan 14, 2016 Regulatory Notice 16-03
SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
Jan 11, 2016 Regulatory Notice 16-02
FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
Jan 4, 2016 Regulatory Notice 16-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 15, 2016
Dec 9, 2015 Regulatory Notice 15-52
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
Dec 8, 2015 Regulatory Notice 15-51
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Effective Date: February 1, 2016
Dec 7, 2015 Regulatory Notice 15-50
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
Nov 30, 2015 Regulatory Notice 15-49
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Effective Date: December 12, 2015
Nov 25, 2015 Regulatory Notice 15-48
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Effective Date: April 2, 2016
Nov 23, 2015 Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Implementation Date: May 23, 2016
Nov 20, 2015 Regulatory Notice 15-46
Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
Nov 18, 2015 Regulatory Notice 15-45
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Implementation Date: January 4, 2016
Nov 6, 2015 Regulatory Notice 15-44
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
Nov 3, 2015 Regulatory Notice 15-43
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Effective Date: November 3, 2015
Nov 2, 2015 Regulatory Notice 15-42
FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 2015
Oct 27, 2015 Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Effective Date: November 30, 2015
Oct 26, 2015 Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015

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