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
Aug 26, 2016 Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
Jun 12, 2017 Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Apr 3, 2017 Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Dec 5, 2016 Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Nov 7, 2011 Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Oct 7, 2016 Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016.

Oct 7, 2015 Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
Jan 20, 2016 Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Sep 23, 2011 Trade Reporting Notice - 9/23/11
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Sep 23, 2011 Trade Reporting Notice - 9/23/11
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Sep 17, 2010 Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Aug 19, 2010 Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Aug 14, 2008 Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Aug 1, 2013 Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Jul 28, 2008 Trade Reporting Notice - 7/28/08
FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
Jul 11, 2014 Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Jul 1, 2008 Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
Jun 3, 2011 Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
May 10, 2011 Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Apr 17, 2013 Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Mar 25, 2013 Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013

In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.

Mar 18, 2008 Trade Reporting Notice - 3/18/08
Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
Feb 8, 2010 Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
Feb 24, 2009 Trade Reporting Notice - 2/24/09
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
Feb 22, 2008 Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt

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