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
Jun 23, 2015 Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
Jun 29, 2015 Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Jul 16, 2015 Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
Jul 30, 2015 Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Aug 3, 2015 Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Effective Date: October 1, 2015
Aug 10, 2015 Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Implementation Date: September 28, 2015
Aug 26, 2015 Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Effective Date: September 25, 2015, or December 24, 2015
Aug 26, 2015 Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

Sep 8, 2015 Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Sep 15, 2015 Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Oct 2, 2015 Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Effective Date: March 30, 2016
Oct 2, 2015 Regulatory Notice 15-35
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
Oct 12, 2015 Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
Oct 15, 2015 Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
Oct 23, 2015 Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 23, 2015 Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
Oct 26, 2015 Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015
Oct 27, 2015 Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Effective Date: November 30, 2015
Nov 2, 2015 Regulatory Notice 15-42
FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 2015
Nov 3, 2015 Regulatory Notice 15-43
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Effective Date: November 3, 2015
Nov 6, 2015 Regulatory Notice 15-44
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
Nov 18, 2015 Regulatory Notice 15-45
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Implementation Date: January 4, 2016
Nov 20, 2015 Regulatory Notice 15-46
Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
Nov 23, 2015 Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Implementation Date: May 23, 2016
Nov 25, 2015 Regulatory Notice 15-48
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Effective Date: April 2, 2016

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