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 |
Title | Description |
|---|---|---|
| Oct 19, 2018 | Regulatory Notice 18-36 |
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Implementation Date: November 19, 2018
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| Oct 16, 2018 | Election Notice – 10/16/18 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
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| Oct 16, 2018 | Election Notice – 10/16/18 |
Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
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| Oct 16, 2018 | Election Notice – 10/16/18 |
Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
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| Oct 16, 2018 | Regulatory Notice 18-35 |
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
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| Oct 4, 2018 | Regulatory Notice 18-34 |
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Effective Date: April 1, 2019
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| Oct 2, 2018 | Information Notice – 10/02/18 |
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
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| Sep 28, 2018 | Regulatory Notice 18-33 |
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
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| Sep 24, 2018 | Regulatory Notice 18-32 |
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
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| Sep 24, 2018 | Information Notice – 9/24/18 |
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System
The Notice was updated on September 28, 2018. |
| Sep 14, 2018 | Regulatory Notice 18-31 |
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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| Sep 13, 2018 | Regulatory Notice 18-30 |
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Effective Date: December 3, 2018 (enhancements to the REX System to provide firms the ability to submit Securities Exchange Act (SEA) Rule 15c3-3(d)(4) extension of time requests via a batch file process and other updates to the extension of time request forms); February 25, 2019 (updates to data and validation requirements for extension of time requests under Regulation T and SEA Rule 15c3-3)
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| Sep 12, 2018 | Regulatory Notice 18-29 |
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
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| Sep 11, 2018 | Regulatory Notice 18-28 |
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Comment Period Expires: November 12, 2018
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| Sep 6, 2018 | Regulatory Notice 18-26 |
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
|
| Sep 6, 2018 | Regulatory Notice 18-27 |
Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
|
| Aug 29, 2018 | Election Notice – 8/29/18 |
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
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| Aug 29, 2018 | Election Notice - 8/29/18 |
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
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| Aug 13, 2018 | Election Notice – 8/13/18 |
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2018
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| Aug 13, 2018 | Regulatory Notice 18-25 |
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
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| Aug 10, 2018 | Regulatory Notice 18-24 |
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
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| Jul 30, 2018 | Special Notice – 7/30/18 |
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| Jul 26, 2018 | Regulatory Notice 18-22 |
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
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| Jul 26, 2018 | Regulatory Notice 18-23 |
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
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| Jul 23, 2018 | Election Notice – 7/23/18 |
Notice of Annual Meeting of FINRA Firms and Proxy
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