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 |
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| Regulatory Notice 18-07 | Extension of Time Requests Relating to FINRA Rule 4210
Note: The implementation date of the margin requirements for Covered Agency Transactions pursuant to SR-FINRA-2015-036 has been extended to March 25, 2019. See Regulatory Notice 18-18 for more information. |
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| Regulatory Notice 18-08 | FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Comment Period Expires: April 27, 2018
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| Regulatory Notice 18-09 | FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA's Business Continuity/Disaster Recovery Testing
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| Regulatory Notice 18-10 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: June 22, 2018.
The comment period has been extended to June 22, 2018. |
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| Regulatory Notice 18-11 | FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
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| Regulatory Notice 18-12 | 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Election Notice – 4/20/18 | Special Election to Fill a FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, June 4, 2018
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| Regulatory Notice 18-13 | FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Comment Period Expires: June 19, 2018
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| Regulatory Notice 18-14 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Comment Period Expires: June 25, 2018
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| Regulatory Notice 18-15 | Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
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| Regulatory Notice 18-16 | FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
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| Regulatory Notice 18-17 | FINRA Revises the Sanction Guidelines
Effective Date: June 1, 2018
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| Regulatory Notice 18-18 | FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
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| Regulatory Notice 18-19 | FINRA Amends Rule 3310 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
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| Information Notice - 5/7/18 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
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| Information Notice – 5/18/18 | Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
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| Election Notice – 5/25/18 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 9, 2018
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| Election Notice – 6/11/18 | Notice of Special Meeting of Large Firms and Proxy
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| Regulatory Notice 18-20 | FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
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| Information Notice – 7/13/18 | FINRA Warns Firms of Regulator Impersonators
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| Election Notice – 7/23/18 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 18-21 | SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
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| Regulatory Notice 18-22 | FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
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| Regulatory Notice 18-23 | FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
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| Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| Regulatory Notice 18-24 | Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
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| Regulatory Notice 18-25 | FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
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| Election Notice – 8/13/18 | FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2018
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| Election Notice - 8/29/18 | Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
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| Election Notice – 8/29/18 | Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
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| Regulatory Notice 18-26 | FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
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| Regulatory Notice 18-27 | Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
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| Regulatory Notice 18-28 | FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comment Period Expires: November 12, 2018
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| Regulatory Notice 18-29 | FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
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| Regulatory Notice 18-30 | Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
As a result of current events related to the COVID-19 pandemic and the associated impact on firms’ available resources to implement technology changes, FINRA is delaying the March 30, 2020, effective date for firms to begin submitting the last four digits of a customer’s Social Security or tax identification number and the update for certain validation identifiers and validation criteria to meet Regulation T calls. The new effective date will be May 31, 2020, and the testing cycle will continue to be available until May 15, 2020. |
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| Regulatory Notice 18-31 | SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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| Information Notice – 9/24/18 | Presentation Changes and New Functionality in the Central Registration Depository (CRD) System
The Notice was updated on September 28, 2018. |
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| Regulatory Notice 18-32 | FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
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| Regulatory Notice 18-33 | SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
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