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
May 15, 2014 Regulatory Notice 14-21
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015

The effective date for ADF and TRFs (remaining amendments) has been extended to July 13, 2015. Original effective date: April 20, 2015.

The effective date for ADF and TRFs (remaining amendments) has been extended to April 20, 2015. Original effective date: First Quarter 2015.

The effective date for ADF and TRFs (millisecond reporting) has been extended to November 10, 2014. Original effective date: September 29, 2014.

The effective date for ORF has been extended to November 17, 2014. Original effective date: September 15, 2014.

May 15, 2014 Regulatory Notice 14-22
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Effective Date: May 15, 2014
May 16, 2014 Regulatory Notice 14-23
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Effective Date: June 16, 2014
May 23, 2014 Regulatory Notice 14-24
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
Jun 23, 2014 Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Jun 27, 2014 Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
Jun 30, 2014 Regulatory Notice 14-27
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Jun 30, 2014 Regulatory Notice 14-28
SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
Jul 2, 2014 Regulatory Notice 14-29
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
Jul 11, 2014 Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Effective Date: July 11, 2014
Jul 30, 2014 Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Aug 6, 2014 Regulatory Notice 14-32
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
Implementation Date: August 12, 2014
Aug 14, 2014 Regulatory Notice 14-33
FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 2014
Aug 26, 2014 Regulatory Notice 14-34
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Effective Date: June 1, 2015

3/3/15: The effective date has been extended from April 27, 2015, to June 1, 2015.

Sep 16, 2014 Regulatory Notice 14-35
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
Sep 17, 2014 Regulatory Notice 14-36
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
Sep 30, 2014 Regulatory Notice 14-37
FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
Oct 6, 2014 Regulatory Notice 14-38
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Oct 8, 2014 Regulatory Notice 14-39
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Oct 9, 2014 Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Oct 10, 2014 Regulatory Notice 14-41
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 17, 2014 Regulatory Notice 14-42
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
Oct 23, 2014 Regulatory Notice 14-43
SEC Approves Supplemental Inventory Schedule
Implementation Date: The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015.
Oct 27, 2014 Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
Oct 31, 2014 Regulatory Notice 14-45
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014

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