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 Titlesort descending Description
Mar 23, 2018 Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: May 23, 2018
Mar 28, 2018 Regulatory Notice 18-11
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
Apr 17, 2018 Regulatory Notice 18-12
2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Jun 11, 2010 Regulatory Notices 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
Feb 1, 2018 Special Notice – 2/1/18
2018 Involvement and Election Process Overview
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Dec 21, 2011 Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Feb 19, 2008 Trade Reporting Notice - 2/19/08
Guidance on Reporting Electronic Communications Network (ECN) Transactions
Feb 22, 2008 Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Feb 24, 2009 Trade Reporting Notice - 2/24/09
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
Feb 8, 2010 Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
Mar 18, 2008 Trade Reporting Notice - 3/18/08
Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
Mar 25, 2013 Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013

In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.

Apr 17, 2013 Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
May 10, 2011 Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Jun 3, 2011 Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
Jul 1, 2008 Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
Jul 11, 2014 Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Jul 28, 2008 Trade Reporting Notice - 7/28/08
FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
Aug 1, 2013 Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Aug 14, 2008 Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Aug 19, 2010 Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Sep 17, 2010 Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Sep 23, 2011 Trade Reporting Notice - 9/23/11
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Sep 23, 2011 Trade Reporting Notice - 9/23/11
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities

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