Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Regulatory Notice 10-40
Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Regulatory Notice 10-41
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Regulatory Notice 10-42
SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
Regulatory Notice 10-43
Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
Regulatory Notice 10-44
New Alert-Reporting Criterion for Leverage in FOCUS Reports
Regulatory Notice 10-46
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
Effective Date: FOCUS Report Due on November 23, 2010, Covering the October 2010 Reporting Period
Regulatory Notice 10-45
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Effective Date: December 2, 2010
Information Notice - 10/8/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 10-47
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Effective Date: February 8, 2011
Regulatory Notice 10-47
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Effective Date: February 8, 2011
Regulatory Notice 10-48
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
Effective Date: November 10, 2010
The effective date was extended to February 28, 2011.
Register Notice 10-50
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 10/15/10
Continuing Education Planning
Regulatory Notice 10-49
SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: December 15, 2010
Regulatory Notice 10-49
SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: December 15, 2010
Regulatory Notice 10-51
Sales Practice Obligations for Commodity Futures-Linked Securities
Regulatory Notice 10-52
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
Election Notice - 10/21/10
Notice of SFAB Election and Ballots
Regulatory Notice 10-53
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Effective Date: October 26, 2010
Regulatory Notice 10-53
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Effective Date: October 26, 2010
Regulatory Notice 10-54
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Comment Period Expires: December 27, 2010
Regulatory Notice 10-55
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Effective Date: May 16, 2011
Regulatory Notice 10-56
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Effective Date: November 1, 2010
Regulatory Notice 10-57
Funding and Liquidity Risk Management Practices
Regulatory Notice 10-58
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011
Payment Deadline: December 13, 2010
Regulatory Notice 10-59
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
Effective Date: December 29, 2010
Regulatory Notice 10-60
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Effective Date: May 27, 2011
Information Notice - 12/2/10
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Regulatory Notice 10-61
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
Effective Date: February 1, 2011
Information Notice - 12/14/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 10-62
SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: June 17, 2011
Regulatory Notice 10-62
SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: June 17, 2011
Regulatory Notice 11-01
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 4, 2011
Information Notice - 1/6/11
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 21, 2011
Regulatory Notice 11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Effective Date: October 7, 2011

The effective date has been delayed to July 9, 2012
Regulatory Notice 11-03
FINRA Expands the Order Audit Trail System to All NMS Stocks
Effective Date: July 11, 2011

The implementation date has been delayed to October 17, 2011.
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expires: March 14, 2011
Regulatory Notice - 11-05
Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
Regulatory Notice 11-06
SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
Effective Date: July 1, 2011
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