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
Oct 23, 2015 Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
Oct 23, 2015 Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 15, 2015 Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
Oct 12, 2015 Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
Oct 2, 2015 Regulatory Notice 15-35
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
Oct 2, 2015 Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Effective Date: March 30, 2016
Sep 15, 2015 Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Sep 8, 2015 Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Aug 26, 2015 Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

Aug 26, 2015 Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Effective Date: September 25, 2015, or December 24, 2015
Aug 10, 2015 Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Implementation Date: September 28, 2015
Aug 3, 2015 Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Effective Date: October 1, 2015
Jul 30, 2015 Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Jul 16, 2015 Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
Jun 29, 2015 Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Jun 23, 2015 Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
Jun 19, 2015 Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Jun 17, 2015 Regulatory Notice 15-22
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Comment Period Expires: August 17, 2015
Jun 8, 2015 Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Effective Date: July 6, 2015
May 27, 2015 Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Comment Period Expires: July 27, 2015
May 27, 2015 Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Comment Period Expires: July 13, 2015
May 27, 2015 Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
May 22, 2015 Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
May 18, 2015 Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
May 12, 2015 Regulatory Notice 15-15
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Effective Immediately

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