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 09-11 | SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Effective Date: April 20, 2009
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| Regulatory Notice 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| Election Notice - 2/23/09 | Nominees for the District Committees and District Nominating Committees
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| Trade Reporting Notice - 2/24/09 | FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Effective Date: July 1, 2009
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| Regulatory Notice 09-13 | SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
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| Regulatory Notice 09-16 | SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009
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| Regulatory Notice 09-14 | SEC Approves Alternative Means for Calculating the Minimum Price-Improvement Obligations Under Certain Circumstances
Effective Date: February 11, 2009
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| Regulatory Notice 09-15 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Comment Period Expired: April 24, 2009
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| Regulatory Notice 09-15 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Comment Period Expired: April 24, 2009
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| Information Notice - 3/16/09 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 10, 2009
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| Regulatory Notice 09-17 | FINRA Provides Guidance on its Enforcement Process
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| Election Notice - 3/24/09 | FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
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| Election Notice - 3/27/09 | Nominees for Vacant FINRA Board of Governors Large Firm Seats
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| Regulatory Notice 09-18 | EBS Submissions Following Implementation of the Option Symbology Initiative
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| Regulatory Notice 09-19 | Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
Effective Date: June 15, 2009
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| Regulatory Notice 09-21 | FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
Effective Date: May 4, 2009
The process for transferring debt positions described in this Notice was updated on July 30, 2012. For transfers of debt positions, firms must first request that FINRA Operations enable their reporting Market Participant Symbol (MPID) for position transfer entry by contacting FINRA Operations at (866) 776-0800 or by email. See the applicable technical specifications for FIX, CTCI and Web on the TRACE Documentation page. |
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| Regulatory Notice 09-20 | SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
Effective Date: June 15, 2009
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| Regulatory Notice 09-20 | SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
Effective Date: June 15, 2009
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| Regulatory Notice 09-22 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Comment Period Expires: June 5, 2009
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| Regulatory Notice 09-22 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Comment Period Expires: June 5, 2009
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| Information Notice 4/29/09 | Use of FINRA Logo
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| Regulatory Notice 09-23 | SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
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| Regulatory Notice 09-25 | Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Comment Period Expires: June 29, 2009
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| Regulatory Notice 09-24 | SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
Effective Date: June 15, 2009
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| Election Notice - 5/15/09 | Notice of Special Meeting of Large Firms and Proxy
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| Regulatory Notice 09-25 | Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Comment Period Expires: June 29, 2009
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| Regulatory Notice 09-27 | SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Effective Date: June 17, 2009
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| Regulatory Notice 09-26 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 5/20/09 | Continuing Education Planning
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| Regulatory Notice 09-28 | FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
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| Regulatory Notice 09-29 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Comment Period Expires: July 16, 2009
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| Regulatory Notice 09-29 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Comment Period Expires: July 16, 2009
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| Regulatory Notice 09-30 | SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
Effective Date: June 3, 2009
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| Regulatory Notice 09-31 | FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
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| Regulatory Notice 09-32 | SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Effective Date: February 8, 2010
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| Regulatory Notice 09-33 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: August 17, 2009
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| Regulatory Notice 09-33 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: August 17, 2009
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| Regulatory Notice 09-34 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expires: August 3, 2009
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| Regulatory Notice 09-35 | FINRA Recommends Review of Municipal Securities Activities
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| Information Notice - 7/1/09 | New FTC Red Flags Rule Template
Note: FTC's Red Flags Rule Enforcement began Jan 1, 2011. On July 21, 2011, the Dodd-Frank Act transferred responsibility for identity theft red flag rules and guidelines to the SEC and CFTC for the entities they regulate. On February 28, 2012, the SEC and CFTC jointly proposed for comment red flag rules and guidelines that are substantially similar to the FTC’s and do not propose new requirements or cover new entities. The comment period closed May 7, 2012. |