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
Dec 27, 2012 Regulatory Notice 12-58
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Jan 2, 2013 Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 1, 2013
Jan 4, 2013 Regulatory Notice 13-02
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expired: March 5, 2013
Jan 7, 2013 Regulatory Notice 13-03
FINRA Provides Guidance on New Rules Governing Communications With the Public
Jan 18, 2013 Regulatory Notice 13-04
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Effective Date: February 18, 2013
Jan 24, 2013 Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Comment Period Expired: February 25, 2013
Jan 25, 2013 Regulatory Notice 13-06
SEC Approves Amendments to Rule 8210
Effective Date: February 25, 2013
Jan 31, 2013 Regulatory Notice 13-07
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: April 1, 2013
Feb 15, 2013 Regulatory Notice 13-08
FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
Implementation Dates: March 4, 2013, and July 1, 2013
Mar 6, 2013 Regulatory Notice 13-12
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Effective Date: April 8, 2013
Apr 9, 2013 Regulatory Notice 13-13
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Effective Date: May 9, 2013
Apr 12, 2013 Regulatory Notice 13-14
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Apr 12, 2013 Regulatory Notice 13-15
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Effective Date: July 22, 2013
Apr 17, 2013 Regulatory Notice 13-16
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2013
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38.
Apr 18, 2013 Regulatory Notice 13-17
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
May 2, 2013 Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
May 23, 2013 Regulatory Notice 13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Effective Date: November 4, 2013
May 28, 2013 Regulatory Notice 13-20
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Effective Date: Thursday, June 27, 2013
Jun 3, 2013 Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Jun 28, 2013 Regulatory Notice 13-22
FINRA Revises the Series 55 Examination Program
Implementation Date: August 12, 2013
Jul 18, 2013 Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Jul 22, 2013 Regulatory Notice 13-24
FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: July 22, 2013
Aug 16, 2013 Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Aug 19, 2013 Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Aug 20, 2013 Regulatory Notice 13-27
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013

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