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 19, 2016 Election Notice – 10/19/16
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
Jan 18, 2008 Election Notice - 1/18/08
Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to correct the listings for the District Nominating Committees for Districts 3, 4 and 10.
Jan 2, 2009 Election Notice - 1/2/09
Upcoming District Committee and District Nominating Committee Elections
This Notice was updated to note that the District 10 Nominating Committee Chair is Vacant.
Oct 10, 2008 Election Notice - 10/10/08
Election Notice - 10/10/08
Oct 15, 2014 Election Notice - 10/15/14
Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
Oct 15, 2014 Election Notice - 10/15/14
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
Oct 15, 2014 Election Notice - 10/15/14
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
Oct 17, 2012 Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
Oct 17, 2012 Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
Oct 17, 2012 Election Notice - 10/17/12
Notice of FINRA District Committee Election and Ballots
This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3.
Oct 19, 2011 Election Notice - 10/19/11
Notice of FINRA District Committee Election and Ballots
Oct 19, 2011 Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots
Oct 19, 2011 Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Oct 21, 2010 Election Notice - 10/21/10
Notice of SFAB Election and Ballots
Oct 23, 2009 Election Notice - 10/23/09
Notice of SFAB Election and Ballots
Oct 24, 2008 Election Notice - 10/24/08
FINRA Notice of Special Meeting of Small Firms and Proxy
Oct 25, 2011 Election Notice - 10/25/11
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details.
Nov 1, 2007 Election Notice - 11/1/07
FINRA Small Firm Advisory Board Election
Nov 21, 2008 Election Notice - 11/21/08
Notice of SFAB Election and Ballots
Nov 25, 2013 Election Notice - 11/25/13
Small Firm Advisory Board Runoff Election
Nov 29, 2011 Election Notice - 11/29/11
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
Dec 11, 2009 Election Notice - 12/11/09
Upcoming District Committee and District Nominating Committee Elections
Dec 14, 2007 Election Notice - 12/14/07
Small Firm Advisory Board Election and Ballots
Dec 14, 2011 Election Notice - 12/14/11
Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
Dec 17, 2013 Election Notice - 12/17/13
FINRA Announces Results of SFAB, NAC and District Committee Elections

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