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 |
Title |
Description |
|---|---|---|
| Mar 24, 2010 | Information Notice - 3/24/10 |
New Firm Requirement to Designate a Super Account Administrator
|
| Mar 3, 2014 | Information Notice - 3/3/14 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: March 18, 2014
|
| Mar 31, 2015 | Information Notice - 3/31/15 |
FINRA Survey to Create the Securities Trader Qualification Examination
|
| Mar 8, 2012 | Information Notice - 3/8/12 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 1, 2012
|
| Apr 1, 2008 | Information Notice - 4/1/08 |
FINRA Implements Changes to OTC Reporting Facility and OTC Bulletin Board Invoice Processes
Effective Date: April 1, 2008
|
| Apr 10, 2015 | Information Notice - 4/10/15 |
Continuing Education Planning
|
| Apr 11, 2014 | Information Notice - 4/11/14 |
Continuing Education Planning
|
| Apr 13, 2012 | Information Notice - 4/13/12 |
Continuing Education Planning
|
| Apr 12, 2013 | Information Notice - 4/13/13 |
Continuing Education Planning
|
| Apr 15, 2011 | Information Notice - 4/15/11 |
Continuing Education Planning
|
| Apr 2, 2012 | Information Notice - 4/2/12 |
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
|
| Apr 20, 2010 | Information Notice - 4/20/10 |
Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10. |
| Apr 20, 2011 | Information Notice - 4/20/11 |
March 2011 Supplement to the Options Disclosure Document
|
| May 1, 2013 | Information Notice - 5/1/13 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
|
| May 15, 2008 | Information Notice - 5/15/08 |
April 2008 Supplement to the Options Disclosure Document
|
| May 20, 2009 | Information Notice - 5/20/09 |
Continuing Education Planning
|
| May 26, 2010 | Information Notice - 5/26/10 |
DTCC to Provide FINRA Access to Participant Position Reports
|
| Jun 28, 2011 | Information Notice - 6/28/11 |
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11. |
| Jun 5, 2013 | Information Notice - 6/5/13 |
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
|
| Jun 6, 2011 | Information Notice - 6/6/11 |
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
|
| Jun 9, 2008 | Information Notice - 6/9/08 |
Continuing Education Planning
|
| Jul 1, 2009 | Information Notice - 7/1/09 |
New FTC Red Flags Rule Template
Note: FTC's Red Flags Rule Enforcement began Jan 1, 2011. On July 21, 2011, the Dodd-Frank Act transferred responsibility for identity theft red flag rules and guidelines to the SEC and CFTC for the entities they regulate. On February 28, 2012, the SEC and CFTC jointly proposed for comment red flag rules and guidelines that are substantially similar to the FTC’s and do not propose new requirements or cover new entities. The comment period closed May 7, 2012. |
| Aug 1, 2012 | Information Notice - 8/1/12 |
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
|
| Aug 26, 2008 | Information Notice - 8/26/08 |
June 2008 Supplement to the Options Disclosure Document
|
| Aug 28, 2012 | Information Notice - 8/28/12 |
Guidance for Firms Potentially Affected by Hurricane Isaac
|