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 |
|---|---|---|
| Nov 24, 2015 | Information Notice – 11/24/15 |
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
|
| 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
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| Nov 4, 2015 | Information Notice – 11/4/15 |
CE Online and S101 Personalization
|
| 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
|
| Oct 23, 2015 | Regulatory Notice 15-38 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
| Oct 23, 2015 | Information Notice – 10/23/15 |
Continuing Education Planning
|
| Oct 23, 2015 | Regulatory Notice 15-39 |
FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
|
| 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 14, 2015 | Election Notice – 10/14/15 |
Notice of SFAB Election and Ballots
Ballot Due Date: November 13, 2015
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| Oct 14, 2015 | Election Notice – 10/14/15 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 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 7, 2015 | Trade Reporting Notice – 10/7/15 |
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 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
|
| 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 1, 2015 | Election Notice – 10/1/15 |
Nomination of a Small Firm NAC Member Candidate
|
| 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
|
| Sep 2, 2015 | Election Notice – 9/2/15 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
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| Sep 2, 2015 | Election Notice – 9/2/15 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
|