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
Aug 28, 2013 Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
Sep 20, 2013 Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Comment Period Expired: November 4, 2013
Sep 23, 2013 Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Sep 25, 2013 Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Oct 9, 2013 Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Effective Date: September 26, 2013
Oct 18, 2013 Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 23, 2013 Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014
Oct 30, 2013 Regulatory Notice 13-35
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
Oct 31, 2013 Regulatory Notice 13-36
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
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.

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