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 |
|---|---|---|
| Regulatory Notice 16-16 | 2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
|
|
| Regulatory Notice 16-17 | FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
|
|
| Regulatory Notice 16-15 | Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
|
|
| Regulatory Notice 16-14 | FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
|
|
| Regulatory Notice 16-13 | Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
|
|
| Regulatory Notice 16-12 | FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
|
|
| Regulatory Notice 16-11 | Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016
|
|
| Regulatory Notice 16-10 | Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
|
|
| Information Notice – 3/15/16 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
|
| Election Notice – 3/10/16 | Annual FINRA Election Cycle and Procedures Overview
|
|
| Regulatory Notice 16-09 | FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
|
|
| Regulatory Notice 16-08 | Private Placements and Public Offerings Subject to a Contingency
|
|
| Regulatory Notice 16-07 | FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other than Registration Requirements): May 16, 2016
|
|
| Regulatory Notice 16-06 | SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
|
|
| Regulatory Notice 16-05 | SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
|
|
| Information Notice – 1/20/16 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
|
|
| Trade Reporting Notice – 1/20/16 | OTC Equity Trading and Reporting in the Event of Systems Issues
|
|
| Regulatory Notice 16-04 | SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc
Effective Date: December 20, 2015
|
|
| Regulatory Notice 16-03 | SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
|
|
| Regulatory Notice 16-02 | FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
|
|
| Information Notice – 1/8/16 | Use of FINRA Logo
|
|
| Information Notice – 12/22/15 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
|
|
| Information Notice – 12/22/15 | 2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
|
| Election Notice – 12/18/15 | FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
|
|
| Information Notice – 12/14/15 | 2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
|
|
| Regulatory Notice 15-52 | SEC Staff Provides Insight Into Firms' Obligations When Providing Stock Quote Information to Customers
|
|
| Regulatory Notice 15-51 | Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
Effective Date: February 1, 2016
|
|
| Regulatory Notice 15-50 | SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
|
|
| Regulatory Notice 15-49 | SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Effective Date: December 12, 2015
|
|
| Regulatory Notice 15-48 | SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Effective Date: April 2, 2016
|
|
| Information Notice – 11/24/15 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
|
|
| 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
|
|
| Regulatory Notice 15-46 | Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
|
|
| 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
|
|
| Regulatory Notice 15-44 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
|
|
| Information Notice – 11/4/15 | CE Online and S101 Personalization
|
|
| 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
|
|
| Regulatory Notice 15-42 | FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 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
|
|
| Regulatory Notice 15-40 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015
|