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 19-16 | SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019 [PDF]
|
|
| Information Notice – 4/29/19 | Imposter Websites Impacting Member Firms
|
|
| Regulatory Notice 19-17 | FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
|
|
| Regulatory Notice 19-18 | FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
|
|
| Information Notice 5/10/19 | Understanding Short Sale Volume Data on FINRA’s Website
|
|
| Regulatory Notice 19-19 | FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
|
|
| Election Notice – 5/24/19 | Upcoming FINRA Board of Governors Election
|
|
| Regulatory Notice 19-20 | SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
|
|
| Regulatory Notice 19-21 | Margin Requirements for Exchange-Traded Notes
|
|
| Regulatory Notice 19-22 | FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
|
|
| Regulatory Notice 19-23 | FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
|
|
| Trade Reporting Notice – 7/16/19 | Trade Reporting Requirements Applicable to Step-Out Submissions
|
|
| Regulatory Notice 19-24 | FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
|
|
| Trade Reporting Notice – 7/19/19 | FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
|
|
| Election Notice – 7/19/19 | Notice of Annual Meeting of FINRA Firms and Proxy
|
|
| Regulatory Notice 19-25 | FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
|
|
| Regulatory Notice 19-26 | Regulation Best Interest
SEC Adopts Best Interest Standard of Conduct
|
|
| Regulatory Notice 19-27 | FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
|
|
| Regulatory Notice 19-28 | Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
|
|
| Election Notice – 8/20/19 | FINRA Announces Nomination Process to Fill Upcoming Firm Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 4, 2019
|
|
| Election Notice – 9/4/19 | Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 4, 2019
|
|
| Election Notice – 9/4/19 | Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 4, 2019
|
|
| Regulatory Notice 19-29 | SEC Approves Amendments to Expand Published Data Relating to OTC Equity Trading Volume
Effective Date: December 2, 2019
|
|
| Regulatory Notice 19-30 | SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
Effective date: August 3, 2020
FINRA has revised the effective date for this Notice to August 3, 2020. |
|
| Regulatory Notice 19-31 | Disclosure Innovations in Advertising and Other Communications with the Public
|
|
| Regulatory Notice 19-32 | FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017
Implementation Date: August 16, 2019
|
|
| Regulatory Notice 19-33 | FINRA and ISG Announce the Update of Blue Sheet Data Elements
Effective Date: Immediately Effective
|
|
| Information Notice – 10/2/19 | Cybersecurity Alert: Cloud-Based Email Account Takeovers
|
|
| Regulatory Notice 19-34 | Annual Compliance Meetings: Retrospective Rule Review Report and Guidance
|
|
| Election Notice – 10/21/19 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 20, 2019
|
|
| Election Notice – 10/21/19 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballot Due Date: November 20, 2019
|
|
| Regulatory Notice 19-35 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2020
Payment Deadline: December 16, 2019
|
|
| Information Notice – 11/11/19 | 2020 and First Quarter of 2021 Report Filing Due Dates
|
|
| Regulatory Notice 19-36 | FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
|
|
| Information Notice – 11/26/19 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
|
|
| Information Notice – 12/9/19 | 2020 Holiday Margin Extensions Schedule
|
|
| Regulatory Notice 19-37 | SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Effective Date: January 1, 2020
|
|
| Election Notice – 12/19/19 | FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
|
|
| Regulatory Notice 20-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 17, 2020
|
|
| Regulatory Notice 20-02 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
|