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 Pubsort ascending Title Description
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
Sep 24, 2018 Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

Note: The Notice was updated on September 25, 2018, to reflect changes to Attachment A. In addition, FINRA will incorporate additional changes and will update the attachment shortly.

Sep 14, 2018 Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Sep 13, 2018 Regulatory Notice 18-30
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Effective Date: December 3, 2018 (enhancements to the REX System to provide firms the ability to submit Securities Exchange Act (SEA) Rule 15c3-3(d)(4) extension of time requests via a batch file process and other updates to the extension of time request forms); February 25, 2019 (updates to data and validation requirements for extension of time requests under Regulation T and SEA Rule 15c3-3)
Sep 12, 2018 Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Sep 11, 2018 Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Comment Period Expires: November 12, 2018
Sep 6, 2018 Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
Sep 6, 2018 Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
Aug 29, 2018 Election Notice – 8/29/18
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
Aug 29, 2018 Election Notice - 8/29/18
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
Aug 13, 2018 Election Notice – 8/13/18
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2018
Aug 13, 2018 Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
Aug 10, 2018 Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
Jul 30, 2018 Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
Jul 26, 2018 Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
Jul 26, 2018 Regulatory Notice 18-23
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
Jul 23, 2018 Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 23, 2018 Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
Jul 13, 2018 Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Jul 6, 2018 Regulatory Notice 18-20
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Jun 11, 2018 Election Notice – 6/11/18
Notice of Special Meeting of Large Firms and Proxy
May 25, 2018 Election Notice – 5/25/18
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 9, 2018
May 18, 2018 Information Notice – 5/18/18
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
May 7, 2018 Information Notice - 5/7/18
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
May 3, 2018 Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2019

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