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 |
|---|---|---|
| Jul 11, 2014 | Trade Reporting Notice - 7/11/14 |
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
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| Jul 10, 2014 | Information Notice 7/10/14 |
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
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| Jul 9, 2014 | Election Notice - 7/9/14 |
Notice of Annual Meeting of FINRA Firms and Proxy
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| Jul 2, 2014 | Regulatory Notice 14-29 |
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
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| Jun 30, 2014 | Regulatory Notice 14-27 |
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
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| Jun 30, 2014 | Regulatory Notice 14-28 |
SEC Approves FINRA Rule Concerning Self-Trades
Effective Date: August 25, 2014
|
| Jun 27, 2014 | Regulatory Notice 14-26 |
New Payments for Market Making Certification Requirement for FINRA Form 211
Effective Date: July 7, 2014
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| Jun 23, 2014 | Regulatory Notice 14-25 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| May 23, 2014 | Regulatory Notice 14-24 |
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Implementation Date: June 23, 2014
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| May 16, 2014 | Regulatory Notice 14-23 |
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Effective Date: June 16, 2014
|
| May 15, 2014 | Regulatory Notice 14-21 |
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015
The effective date for ADF and TRFs (remaining amendments) has been extended to July 13, 2015. Original effective date: April 20, 2015. The effective date for ADF and TRFs (remaining amendments) has been extended to April 20, 2015. Original effective date: First Quarter 2015. The effective date for ADF and TRFs (millisecond reporting) has been extended to November 10, 2014. Original effective date: September 29, 2014. The effective date for ORF has been extended to November 17, 2014. Original effective date: September 15, 2014. |
| May 15, 2014 | Regulatory Notice 14-22 |
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Effective Date: May 15, 2014
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| May 7, 2014 | Regulatory Notice 14-20 |
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Implementation Date: October 1, 2014
|
| May 6, 2014 | Election Notice - 5/6/14 |
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 2014
|
| Apr 30, 2014 | Regulatory Notice 14-18 |
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Implementation Date: June 16, 2014
|
| Apr 30, 2014 | Regulatory Notice 14-19 |
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
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| Apr 21, 2014 | Regulatory Notice 14-17 |
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Apr 11, 2014 | Regulatory Notice 14-16 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
| Apr 11, 2014 | Information Notice - 4/11/14 |
Continuing Education Planning
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| Apr 8, 2014 | Regulatory Notice 14-14 |
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014. |
| Apr 8, 2014 | Regulatory Notice 14-15 |
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014. |
| Mar 25, 2014 | Regulatory Notice 14-13 |
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Effective Date: April 2, 2014
|
| Mar 24, 2014 | Regulatory Notice 14-12 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
|
| Mar 19, 2014 | Regulatory Notice 14-10 |
SEC Approves New Supervision Rules
Effective Date: December 1, 2014
4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11). |
| Mar 19, 2014 | Regulatory Notice 14-11 |
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
Implementation Date: April 7, 2014
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