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 2, 2015 | Regulatory Notice 15-01 |
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 16, 2015
|
| Dec 30, 2014 | Information Notice - 12/30/14 |
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)
|
| Dec 23, 2014 | Information Notice – 12/23/14 |
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Dec 17, 2014 | Regulatory Notice 14-54 |
FINRA Reminds Firms of Extended Hours Trading Disclosures
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| Dec 5, 2014 | Election Notice - 12/5/14 |
FINRA Announces Results of SFAB, NAC and District Committee Elections
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| Nov 25, 2014 | Information Notice - 11/25/14 |
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
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| Nov 21, 2014 | Regulatory Notice 14-53 |
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
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| Nov 17, 2014 | Regulatory Notice 14-52 |
FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
Comment Period Expires: January 20, 2015
|
| Nov 14, 2014 | Regulatory Notice 14-49 |
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Effective Date: December 15, 2014
|
| Nov 14, 2014 | Regulatory Notice 14-51 |
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Comment Period Expires: January 13, 2015
The comment period has been extended to February 20, 2015. |
| Nov 14, 2014 | Regulatory Notice 14-50 |
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Comment Period Expires: December 15, 2014
|
| Nov 12, 2014 | Regulatory Notice 14-48 |
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015. |
| Nov 12, 2014 | Regulatory Notice 14-46 |
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015. |
| Nov 12, 2014 | Regulatory Notice 14-47 |
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015. |
| Oct 31, 2014 | Regulatory Notice 14-45 |
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
|
| Oct 27, 2014 | Regulatory Notice 14-44 |
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
|
| Oct 23, 2014 | Regulatory Notice 14-43 |
SEC Approves Supplemental Inventory Schedule
Implementation Date: The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015.
|
| Oct 17, 2014 | Regulatory Notice 14-42 |
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
|
| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
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| 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 10, 2014 | Information Notice - 10/10/14 |
Continuing Education Planning
|
| Oct 10, 2014 | Regulatory Notice 14-41 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
|
| Oct 9, 2014 | Regulatory Notice 14-40 |
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
|
| Oct 8, 2014 | Regulatory Notice 14-39 |
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
|