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
Feb 29, 2012 Information Notice 2/9/12
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Apr 15, 2010 Information Notice 4/15/10
Continuing Education Planning
Apr 29, 2009 Information Notice 4/29/09
Use of FINRA Logo
Jun 15, 2010 Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Jul 10, 2014 Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
Aug 17, 2012 Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
Sep 29, 2009 Information Notice 9/29/09
Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
Jan 20, 2016 Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
Jan 8, 2016 Information Notice – 1/8/16
Use of FINRA Logo
Oct 2, 2018 Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
Oct 17, 2017 Information Notice – 10/17/17
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Oct 23, 2015 Information Notice – 10/23/15
Continuing Education Planning
Nov 16, 2018 Information Notice – 11/16/18
2019 and First Quarter of 2020 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)
Nov 20, 2018 Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 21, 2017 Information Notice – 11/21/17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 22, 2016 Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 24, 2015 Information Notice – 11/24/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Nov 30, 2017 Information Notice – 11/30/17
2018 and First Quarter of 2019 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)
Nov 4, 2015 Information Notice – 11/4/15
CE Online and S101 Personalization
Dec 14, 2015 Information Notice – 12/14/15
2016 and First Quarter of 2017 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)
Dec 14, 2016 Information Notice – 12/14/16
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 22, 2015 Information Notice – 12/22/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
Dec 22, 2015 Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 23, 2014 Information Notice – 12/23/14
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 4, 2018 Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning

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