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
Oct 4, 2017 Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Effective Date: October 9, 2017
Oct 5, 2017 Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Effective Date: October 1, 2018
Oct 5, 2017 Regulatory Notice 17-31
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Implementation Date: October 5, 2017
Oct 16, 2017 Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Oct 18, 2017 Regulatory Notice 17-33
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Comment Period Expires: December 18, 2017
Oct 18, 2017 Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Comment Period Expires: December 18, 2017
Oct 31, 2017 Regulatory Notice 17-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
Payment Deadline: December 18, 2017
Nov 3, 2017 Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Effective Date: February 1, 2018
Nov 6, 2017 Regulatory Notice 17-37
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
Effective Date: December 6, 2017
Nov 13, 2017 Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
Comment Period Expires: January 12, 2018
Nov 15, 2017 Regulatory Notice 17-39
SEC Approves the CAT Fee Dispute Resolution Process
Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
Nov 21, 2017 Regulatory Notice 17-40
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Nov 28, 2017 Regulatory Notice 17-41
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Comment Period Expires: January 29, 2018
Dec 6, 2017 Regulatory Notice 17-42
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
Comment Period Expires: February 5, 2018
Dec 6, 2017 Regulatory Notice 17-43
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Jan 2, 2018 Regulatory Notice 18-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2018
Jan 8, 2018 Regulatory Notice 18-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
Jan 10, 2018 Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Jun 11, 2010 Regulatory Notices 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Dec 21, 2011 Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Feb 19, 2008 Trade Reporting Notice - 2/19/08
Guidance on Reporting Electronic Communications Network (ECN) Transactions
Feb 22, 2008 Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Feb 24, 2009 Trade Reporting Notice - 2/24/09
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
Feb 8, 2010 Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010

Pages