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 |
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| Regulatory Notice 22-23 | FINRA Provides Guidance on Succession Planning
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| Information Notice - 11/11/22 | 2023 and First Quarter of 2024 Report Filing Due Dates
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| Regulatory Notice 22-24 | FINRA Amends Rule 11880 to Revise the Syndicate Account Settlement Timeframe for Offerings of Corporate Debt Securities
Effective Date: January 1, 2023
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| Regulatory Notice 22-25 | Heightened Threat of Fraud
FINRA Alerts Firms to Recent Trend in Small-Capitalization IPOs
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| Information Notice 11/18/22 | 2023 Holiday Margin Extensions Schedule
On December 16, 2022, FINRA updated this Information Notice to correct the Settlement Date and the Extension Due Dates associated with Regulation T, SEA Rule 15c3-3(m), FINRA Rule 4210(f)(6), and FINRA Rule 4210(g)(10)(D) for the December 25, 2023 – Christmas Day Holiday closing. |
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| Information Notice - 11/21/22 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 22-26 | FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades
Comment Period Expires: January 30, 2023
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| Regulatory Notice 22-27 | FINRA Adopts Enhancements to TRACE Reporting for U.S. Treasury Securities
Effective Dates: May 15, 2023 (Rule 6730(a)(4)) and November 6, 2023 (Rule 6730.04)
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| Regulatory Notice 22-28 | FINRA Adopts Amendments to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Effective Date: November 6, 2023
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| Regulatory Notice 22-29 | FINRA Alerts Firms to Increased Ransomware Risks
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| Regulatory Notice 22-31 | FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
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| Regulatory Notice 22-30 | FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Comment Period Expires: March 17, 2023
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| Election Notice - 12/16/2022 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Regulatory Notice 23-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 23-02 | FINRA Amends FINRA Rule 2231
Effective Date: January 1, 2024
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| Information Notice 2/14/23 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 27, 2023
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| Regulatory Notice 23-03 | 2023 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 23-04 | FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank
SEA Rule 15c3-1 (Net Capital Requirements) and SEA Rule 15c3-3 (Customer Protection – Reserves and Custody of Securities)
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| Information Notice - 3/15/23 | FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
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| Regulatory Notice 23-05 | FINRA Revises the Research Analyst (Series 86/87) Exam Program
Effective Date: May 15, 2023
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| Regulatory Notice 23-06 | FINRA Shares Effective Practices to Address Risks of Fraudulent Transfers of Accounts Through ACATS
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| Special Notice - 3/29/23 | FINRA Encourages Engagement in Advisory Committees
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| Special Notice - 4/25/23 | 2023 Election Process Overview
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| Information Notice - 4/27/23 | March 2023 Options Disclosure Document
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| Regulatory Notice 23-07 | FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm
Effective Date: June 1, 2023
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| Regulatory Notice 23-09 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
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| Regulatory Notice 23-08 | FINRA Reminds Members of Their Obligations When Selling Private Placements
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| Election Notice - 05/31/2023 | Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 17, 2023
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| Regulatory Notice 23-10 | FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
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| Regulatory Notice 23-11 | FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
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| Information Notice 7/26/23 | FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline
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| Election Notice - 8/7/2023 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 23-12 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
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| Regulatory Notice 23-13 | FINRA Amends Its Rules to Allow Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
Effective Date: August 23, 2023
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| Regulatory Notice 23-14 | Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Effective Date: May 22, 2024
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| Regulatory Notice 23-15 | Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 11, 2023
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 11, 2023
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| Election Notice - 9/25/2023 | FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: November 9, 2023
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| Regulatory Notice 23-16 | FINRA Adopts TAF Exemption for Proprietary Trading Firms
Effective Date: November 6, 2023
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