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
Jan 17, 2019 Information Notice – 1/17/19
October 2018 Supplement to the Options Disclosure Document
Jan 9, 2019 Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Jan 8, 2019 Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
Jan 2, 2019 Regulatory Notice 19-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
Dec 21, 2018 Election Notice - 12/21/18
FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
Dec 21, 2018 Information Notice – 12/21/18
2019 Holiday Margin Extensions Schedule
Dec 18, 2018 Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Dec 17, 2018 Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Dec 10, 2018 Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Effective Date: January 7, 2019
Dec 4, 2018 Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Dec 3, 2018 Regulatory Notice 18-39
Unexpected Close of Securities Markets
Nov 20, 2018 Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 16, 2018 Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Nov 5, 2018 Regulatory Notice 18-38
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Oct 31, 2018 Regulatory Notice 18-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
Oct 29, 2018 Election Notice – 10/29/18
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: Thursday, December 13, 2018
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
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
Oct 16, 2018 Election Notice – 10/16/18
Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
Oct 16, 2018 Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Oct 16, 2018 Election Notice – 10/16/18
Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
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
Oct 2, 2018 Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
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
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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