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|
|Dec 5, 2016||Trade Reporting Notice – 12/5/16||
Reporting of Information Relating to OTC Trades in NMS Stocks
|Apr 3, 2017||Trade Reporting Notice – 4/3/17||
FINRA Updates the Transparency Services FINRA Participant Agreement
|Jun 12, 2017||Trade Reporting Notice – 6/12/17||
Effective Date for Required Use of TRACE for Treasuries Modifiers
|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