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 31, 2017 Regulatory Notice 17-21
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017; Implementation Date for changes relating to MSRB Rules: October 1, 2017
Jun 7, 2017 Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Effective Date: December 15, 2016
Jul 11, 2017 Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Effective Date: October 2, 2017
Jul 12, 2017 Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
Aug 18, 2017 Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
Aug 24, 2017 Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Effective Date: October 23, 2017
Aug 30, 2017 Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey

FINRA is extending the regulatory relief included in this Notice to firms affected by Hurricanes Irma and Maria.

Sep 29, 2017 Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: June 25, 2018
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

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