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 |
|---|---|---|
| Oct 14, 2015 | Election Notice – 10/14/15 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 2015
|
| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017
The District 1 Small Firm seat is no longer contested. Ballots will not be distributed. |
| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
|
| Oct 20, 2017 | Election Notice – 10/20/17 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
|
| Dec 15, 2017 | Election Notice – 12/15/17 |
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
|
| Dec 18, 2015 | Election Notice – 12/18/15 |
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
|
| Dec 20, 2016 | Election Notice – 12/20/16 |
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
|
| Mar 10, 2016 | Election Notice – 3/10/16 |
Annual FINRA Election Cycle and Procedures Overview
|
| Mar 9, 2017 | Election Notice – 3/9/17 |
Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
|
| May 2, 2017 | Election Notice – 5/2/17 |
Notice of Special Meeting of Large Firms and Proxy
|
| Jun 21, 2016 | Election Notice – 6/21/16 |
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: August 5, 2016
|
| Jun 30, 2015 | Election Notice – 6/30/15 |
Notice of Annual Meeting of FINRA Firms and Proxy
|
| Jul 21, 2017 | Election Notice – 7/21/17 |
Notice of Annual Meeting of FINRA Firms and Proxy
|
| Jul 28, 2015 | Election Notice – 7/28/15 |
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 11, 2015
|
| Aug 12, 2016 | Election Notice – 8/12/16 |
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
|
| Aug 19, 2016 | Election Notice – 8/19/16 |
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016. |
| Aug 21, 2017 | Election Notice – 8/21/17 |
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
|
| Sep 2, 2015 | Election Notice – 9/2/15 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
|
| Sep 2, 2015 | Election Notice – 9/2/15 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
|
| Sep 7, 2016 | Election Notice – 9/7/16 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
|
| Sep 7, 2016 | Election Notice – 9/7/16 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
|
| Sep 8, 2017 | Election Notice – 9/8/17 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
|
| Sep 8, 2017 | Election Notice – 9/8/17 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
|
| Feb 7, 2011 | Information Notice - 01/07/11 |
January 2011 Supplement to the Options Disclosure Document
|
| Jan 20, 2015 | Information Notice - 1/20/15 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
|