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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
Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Regulatory Notice - 11-07
FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
Regulatory Notice 11-08
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expires: March 28, 2011
Regulatory Notice 11-09
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
Effective Date: March 14, 2011
Regulatory Notice 11-10
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: April 25, 2011
Regulatory Notice 11-12
FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act
Regulatory Notice 11-13
FINRA Revises Sanction Guidelines
Effective Immediately
Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm's Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expires: May 13, 2011
Regulatory Notice 11-15
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Regulatory Notice 11-16
Treatment of Non-Margin Eligible Equity Securities
Effective Date: July 1, 2011
Information Notice - 4/15/11
Continuing Education Planning
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
Regulatory Notice 11-18
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 4/20/11
March 2011 Supplement to the Options Disclosure Document
Regulatory Notice 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Effective Date: December 5, 2011
Regulatory Notice 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Effective Date: December 5, 2011
Regulatory Notice 11-20
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Effective Date: May 16, 2011
Election Notice - 5/3/11
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
Regulatory Notice 11-21
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Effective Date: January 1, 2012
Regulatory Notice 11-23
Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
Regulatory Notice 11-22
Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
Trade Reporting Notice - 5/10/11
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Regulatory Notice 11-24
SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
Regulatory Notice 11-24
SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Implementation Date: July 9, 2012
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Effective Date: August 1, 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
Information Notice - 6/6/11
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Regulatory Notice 11-27
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2011
Regulatory Notice 11-28
FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expires: August 1, 2011
Regulatory Notice 11-29
Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
Regulatory Notice 11-30
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
New Effective Date: October 3, 2011
Information Notice - 6/28/11
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams

The contact for this Notice was updated on 10/25/11.

Election Notice - 6/29/11
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 11-31
Interim Pilot Program on Margin Requirements for Credit Default Swaps
Effective Date: July 16, 2011

This Notice was updated 07/18/11 to reflect approval of the use of an additional margin methodology for purposes of FINRA Rule 4240.

Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Effective Date: October 17, 2011

The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ.

Regulatory Notice 11-34
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
Regulatory Notice 11-35
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Effective Date: August 8, 2011
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