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 |
|---|---|---|
| Apr 15, 2010 | Information Notice 4/15/10 |
Continuing Education Planning
|
| Apr 29, 2009 | Information Notice 4/29/09 |
Use of FINRA Logo
|
| Jun 15, 2010 | Information Notice 6/15/10 |
May 2010 Supplement to the Options Disclosure Document
|
| Jul 10, 2014 | Information Notice 7/10/14 |
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
|
| Aug 17, 2012 | Information Notice 8/17/12 |
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
|
| Sep 29, 2009 | Information Notice 9/29/09 |
Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
|
| Jan 20, 2016 | Information Notice – 1/20/16 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
|
| Jan 8, 2016 | Information Notice – 1/8/16 |
Use of FINRA Logo
|
| Oct 2, 2018 | Information Notice – 10/02/18 |
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
|
| Oct 17, 2017 | Information Notice – 10/17/17 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
| Oct 23, 2015 | Information Notice – 10/23/15 |
Continuing Education Planning
|
| Nov 21, 2017 | Information Notice – 11/21/17 |
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
|
| Nov 22, 2016 | Information Notice – 11/22/16 |
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
|
| Nov 24, 2015 | Information Notice – 11/24/15 |
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
|
| Nov 30, 2017 | Information Notice – 11/30/17 |
2018 and First Quarter of 2019 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)
|
| Nov 4, 2015 | Information Notice – 11/4/15 |
CE Online and S101 Personalization
|
| Dec 14, 2015 | 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)
|
| Dec 14, 2016 | Information Notice – 12/14/16 |
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
| Dec 22, 2015 | Information Notice – 12/22/15 |
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
|
| Dec 22, 2015 | Information Notice – 12/22/15 |
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
| Dec 23, 2014 | Information Notice – 12/23/14 |
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
|
| Dec 5, 2016 | Information Notice – 12/5/16 |
2017 and First Quarter of 2018 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)
The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524. These due dates take into account the federal holiday calendar as appropriate. |
| Mar 15, 2016 | Information Notice – 3/15/16 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
| May 16, 2016 | Information Notice – 5/16/16 |
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
|
| May 18, 2018 | Information Notice – 5/18/18 |
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
|