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
Nov 1, 2013 Regulatory Notice 13-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
Nov 1, 2013 Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
Nov 7, 2013 Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
Nov 15, 2013 Regulatory Notice 13-40
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Effective Date: December 2, 2013
Dec 19, 2013 Regulatory Notice 13-41
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period
Dec 23, 2013 Regulatory Notice 13-42
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Comment Period Expires: February 21, 2014
See 3/4/14 FINRA update to this Notice. The comment period has been extended to March 21, 2014.
Dec 23, 2013 Regulatory Notice 13-43
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
Effective Date: February 3, 2014
Dec 23, 2013 Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Dec 30, 2013 Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Jan 2, 2014 Regulatory Notice 14-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 10, 2014
Jan 27, 2014 Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Comment Period Expires: February 26, 2014
The comment period has been extended to March 28, 2014.
Jan 30, 2014 Regulatory Notice 14-03
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
Effective Date: January 1, 2014
Jan 31, 2014 Regulatory Notice 14-04
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Effective Date: February 3, 2014
Feb 3, 2014 Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Effective Date: May 1, 2014<br />Deadline for Notification to FINRA of Existing Programs under Rule 4330.06: May 30, 2014<br />Effective Date for FINRA Rule 4330(b)(2)(B): October 28, 2014
Feb 7, 2014 Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Feb 14, 2014 Regulatory Notice 14-07
SEC Approves New Requirements for Alternative Trading Systems
Implementation Dates: May 12, 2014 (ATS Reporting Requirement); November 10, 2014 (MPID Requirement)
On October 2, 2014, FINRA filed a rule change to postpone the implementation date for the MPID requirement to February 2, 2015. On April 3, 2014, FINRA filed a rule change to amend FINRA Rule 4552 to exclude transactions in TRACE-eligible securities from the ATS weekly reporting requirements outlined in Rule 4552 and to amend the MPID requirement.
Feb 20, 2014 Regulatory Notice 14-08
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
Effective Date: June 23, 2014
Feb 26, 2014 Regulatory Notice 14-09
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Comment Period Expires: April 28, 2014
Mar 19, 2014 Regulatory Notice 14-10
SEC Approves New Supervision Rules
Effective Date: December 1, 2014
4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11).
Mar 19, 2014 Regulatory Notice 14-11
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Implementation Date: April 7, 2014
Mar 24, 2014 Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Mar 25, 2014 Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Effective Date: April 2, 2014
Apr 8, 2014 Regulatory Notice 14-14
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014.
Apr 8, 2014 Regulatory Notice 14-15
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014.
Apr 11, 2014 Regulatory Notice 14-16
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

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