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 |
|---|---|---|
| Information Notice – 6/25/20 | FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education
New FINRA Gateway U4 filing experience will be available October 31. View more information on the adjusted launch date. |
|
| Regulatory Notice 20-19 | FINRA and ISG Announce the Update of Blue Sheet Data Elements and Repositioning of Exchange Code Field
Effective Date: Updates to Requestor and Exchange Codes are Effective Immediately; Reposition Exchange Code Field by November 30, 2020
|
|
| Regulatory Notice 20-18 | FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
|
|
| Regulatory Notice 20-17 | FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date: July 18, 2020
|
|
| Regulatory Notice 20-16 | FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
|
|
| Regulatory Notice 20-15 | FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards
Effective Date: September 14, 2020
|
|
| Regulatory Notice 20-14 | Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
|
|
| Election Notice – 5/8/20 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, June 22, 2020
|
|
| Regulatory Notice 20-13 | FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
|
|
| Regulatory Notice 20-12 | FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA
|
|
| Regulatory Notice 20-11 | FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Effective Date: June 29, 2020
|
|
| Information Notice – 4/8/20 | Members of the U.S. Subgroup of the Intermarket Surveillance Group (ISG) Announce the Establishment of the Cross-Market Regulation Working Group (CMRWG)
|
|
| Information Notice – 3/26/20 | Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
|
|
| Regulatory Notice 20-10 | FINRA Amends the FINRA Corporate Financing Rule
Implementation date: Implementation Date for Amended Rule 5110(a)(3)(A), (a)(4)(A)(ii) and (a)(4)(A)(iii): March 20, 2020; Implementation Date of All Other Requirements: September 16, 2020
|
|
| Regulatory Notice 20-09 | 2020 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
|
|
| Regulatory Notice 20-08 | Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
|
|
| Regulatory Notice 20-07 | FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts
|
|
| Regulatory Notice 20-06 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
|
|
| Regulatory Notice 20-05 | FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Comment Period Expires: June 30, 2020
In response to requests for an extension, the comment period has been extended to June 30, 2020. |
|
| Special Notice – 2/14/20 | 2020 Involvement and Election Process Overview
|
|
| Information Notice – 2/3/20 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 18, 2020
|
|
| Regulatory Notice 20-04 | FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.
In response to requests for an extension, the comment period has been extended to June 30, 2020. |
|
| Information Notice – 1/23/20 | Heightened Terror Threat Risk
|
|
| Regulatory Notice 20-03 | Retrospective Rule Review Report
|
|
| Regulatory Notice 20-02 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
|
|
| Regulatory Notice 20-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 17, 2020
|
|
| Regulatory Notice 19-37 | SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Effective Date: January 1, 2020
|
|
| Election Notice – 12/19/19 | FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
|
|
| Information Notice – 12/9/19 | 2020 Holiday Margin Extensions Schedule
|
|
| Information Notice – 11/26/19 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
|
|
| Regulatory Notice 19-36 | FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
|
|
| Information Notice – 11/11/19 | 2020 and First Quarter of 2021 Report Filing Due Dates
|
|
| Regulatory Notice 19-35 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2020
Payment Deadline: December 16, 2019
|
|
| Election Notice – 10/21/19 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 20, 2019
|
|
| Election Notice – 10/21/19 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballot Due Date: November 20, 2019
|
|
| Regulatory Notice 19-34 | Annual Compliance Meetings: Retrospective Rule Review Report and Guidance
|
|
| Information Notice – 10/2/19 | Cybersecurity Alert: Cloud-Based Email Account Takeovers
|
|
| Regulatory Notice 19-33 | FINRA and ISG Announce the Update of Blue Sheet Data Elements
Effective Date: Immediately Effective
|
|
| Regulatory Notice 19-32 | FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017
Implementation Date: August 16, 2019
|
|
| Regulatory Notice 19-31 | Disclosure Innovations in Advertising and Other Communications with the Public
|