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 |
|---|---|---|
| Feb 21, 2008 | Information Notice - 2/21/08 |
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements
Effective Date: February 19, 2008
|
| Feb 3, 2012 | Information Notice - 2/3/12 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 21, 2012
|
| Feb 9, 2012 | Information Notice - 2/9/12 |
January 2012 Supplement to the Options Disclosure Document
|
| Mar 1, 2012 | Information Notice - 3/1/12 |
Revised Fee for Fingerprint Processing
Effective Date: March 19, 2012
|
| Mar 10, 2008 | Information Notice - 3/10/08 |
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act
Effective Date: April 1, 2008
|
| Mar 10, 2010 | Information Notice - 3/10/10 |
Information Notice 3/10/10
Effective Date: April 1, 2010
|
| Mar 12, 2008 | Information Notice - 3/12/08 |
Rulebook Consolidation Process
|
| Mar 16, 2009 | Information Notice - 3/16/09 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 10, 2009
|
| Mar 18, 2015 | Information Notice - 3/18/15 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
| 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
|