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 |
|---|---|---|
| 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
|
| May 6, 2015 | Regulatory Notice 15-14 |
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Effective Date: November 2, 2015
|
| May 5, 2015 | Regulatory Notice 15-13 |
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
|
| Apr 29, 2015 | Regulatory Notice 15-12 |
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
|
| Apr 10, 2015 | Regulatory Notice 15-11 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
| Mar 30, 2015 | Regulatory Notice 15-10 |
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
|
| Mar 26, 2015 | Regulatory Notice 15-09 |
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
|
| Mar 25, 2015 | Regulatory Notice 15-08 |
Changes to Qualification Examination Fees
Effective Date: April 1, 2015
This Notice was updated on 3/26/15 to clarify the fees charged for examinations sponsored by the MSRB and administered and delivered by FINRA. |