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
Dec 5, 2016 Information Notice – 12/5/16
2017 and First Quarter of 2018 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)

The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524.  These due dates take into account the federal holiday calendar as appropriate.

Mar 15, 2016 Information Notice – 3/15/16
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
May 16, 2016 Information Notice – 5/16/16
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
May 18, 2018 Information Notice – 5/18/18
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
Jun 19, 2015 Information Notice – 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
Jun 9, 2017 Information Notice – 6/9/17
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: July 4, 2017
Jul 13, 2018 Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Sep 24, 2018 Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

The Notice was updated on September 28, 2018.

Feb 1, 1999 Notice to Members - February 1999
Year 2000 Update
Jan 1, 1999 Notice to Members - January 1999
Year 2000 Update
Jul 21, 2004 Notice to Members 04-52
Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
Apr 1, 1999 Notice to Members - April 1999
Year 2000 Update
Apr 1, 1999 Notice to Members - April 1999
For Your Information
Aug 10, 1999 Notice to Members - August 1999
For Your Information
Dec 10, 1999 Notice to Members - December 1999
For Your Information
Aug 10, 2000 Notice to Members - FYI - August 2000
For Your Information
Jan 1, 1999 Notice to Members - January 1999
For Your Information
Jul 1, 1999 Notice to Members - July 1999
For Your Information
Jun 1, 1999 Notice to Members - June 1999
For Your Information
Mar 1, 1999 Notice to Members - March 1999
Year 2000 Update
Mar 1, 1999 Notice to Members - March 1999
For Your Information
May 1, 1999 Notice to Members - May 1999
Year 2000 Update
Sep 10, 1999 Notice to Members - September 1999
For Your Information
Jan 10, 2000 Notice to Members 00-01
1999-2000 Renewal Rosters and Final Adjusted Statements
Jan 10, 2000 Notice to Members 00-02
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions

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