Skip to main content

Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Regulatory Notice 11-36
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session

The contact for this Notice was updated on 3/20/12.

Regulatory Notice 11-37
Trading Pause Rule Expanded to All NMS Stocks
Effective Date: August 8, 2011
Election Notice - 8/5/11
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Regulatory Notice 11-38
Application of the SEC's Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor's
Regulatory Notice 11-39
Guidance on Social Networking Websites and Business Communications
Regulatory Notice 11-40
SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
Effective Date: November 1, 2011
Election Notice - 9/7/11
Nomination and Election Process to Fill FINRA District Committee Vacancies
Election Notice - 9/7/11
FINRA Small Firm Advisory Board Election
Regulatory Notice 11-41
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Regulatory Notice 11-42
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Regulatory Notice 11-43
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expires: October 21, 2011
Trade Reporting Notice - 9/23/11
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Trade Reporting Notice - 9/23/11
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Regulatory Notice 11-45
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Implementation Date: November 7, 2011
Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expires: November 12, 2011
Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports
Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
Regulatory Notice 11-47
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 10/14/11
Continuing Education Planning
Election Notice - 10/19/11
Notice of FINRA Small Firm Advisory Board Election and Ballots
Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Election Notice - 10/19/11
Notice of FINRA District Committee Election and Ballots
Regulatory Notice 11-48
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expires: December 9, 2011
Election Notice - 10/25/11
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat

The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details.

Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
Information Notice - 10/28/11
FINRA Entitlement User Account Certification
Regulatory Notice 11-50
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Effective Date: December 2, 2011
Regulatory Notice 11-51
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Payment Deadline: December 12, 2011
Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Regulatory Notice 11-53
SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
Information Notice - 11/28/11
Continuing Education
Election Notice - 11/29/11
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
Regulatory Notice 11-54
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
Information Notice - 12/1/11
2012 Annual Audit and FOCUS Report Filing Deadlines
Regulatory Notice 11-55
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Effective Date: December 15, 2011
Regulatory Notice 11-56
FINRA and ISG Enhance Electronic Blue Sheet Submissions
Effective Date: August 31, 2012

FINRA and the other ISG interested members have extended the effective date for Regulatory Notice 11-56 to November 30, 2012, and May 1, 2013. See Regulatory Notice 12-47.

Election Notice - 12/14/11
Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
Information Notice - 12/15/11
2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Regulatory Notice 12-01
Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 3, 2012
4 5 A B C D E F G H I L M N O P Q R S T U V W

4