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
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
Aug 10, 2018 Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
Aug 13, 2018 Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
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
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 12, 2018 Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
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 14, 2018 Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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
Jun 11, 2010 Regulatory Notices 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
Feb 1, 2018 Special Notice – 2/1/18
2018 Involvement and Election Process Overview
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

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
Dec 21, 2011 Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Feb 19, 2008 Trade Reporting Notice - 2/19/08
Guidance on Reporting Electronic Communications Network (ECN) Transactions
Feb 22, 2008 Trade Reporting Notice - 2/22/08
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Feb 24, 2009 Trade Reporting Notice - 2/24/09
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
Feb 8, 2010 Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
Mar 18, 2008 Trade Reporting Notice - 3/18/08
Revised Policy for Disseminating Reports of Fewer Than 100 Shares
Effective Date: April 21, 2008
Mar 25, 2013 Trade Reporting Notice - 3/25/13
Reporting Reversals of OTC Trades in Equity Securities
Effective Date: July 29, 2013

In light of industry comments, FINRA has extended the effective date of this Notice from June 3, 2013, to July 29, 2013.

Apr 17, 2013 Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
May 10, 2011 Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Jun 3, 2011 Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
Jul 1, 2008 Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008

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