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
Jan 6, 2011 Information Notice - 1/6/11
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 21, 2011
Jan 8, 2008 Information Notice - 1/8/08
New Rate for Fees Paid under Section 31 of the Exchange Act
Jan 8, 2009 Information Notice - 1/8/09
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
Jan 8, 2014 Information Notice - 1/8/14
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Oct 10, 2014 Information Notice - 10/10/14
Continuing Education Planning
Oct 14, 2011 Information Notice - 10/14/11
Continuing Education Planning
Oct 15, 2010 Information Notice - 10/15/10
Continuing Education Planning
Oct 18, 2013 Information Notice - 10/18/13
Continuing Education Planning
Oct 19, 2012 Information Notice - 10/19/12
Continuing Education Planning
Oct 21, 2008 Information Notice - 10/21/08
New Account Application Template
Oct 22, 2008 Information Notice - 10/22/08
FINRA Survey to Update the Series 7 Exam
Oct 23, 2009 Information Notice - 10/23/09
Continuing Education Planning
Oct 25, 2013 Information Notice - 10/25/13
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
Oct 28, 2011 Information Notice - 10/28/11
FINRA Entitlement User Account Certification
Oct 31, 2008 Information Notice - 10/31/08
Continuing Education Planning
Oct 5, 2007 Information Notice - 10/5/07
Extension of Current Rate for Fees Paid under Section 31 of the Exchange Act
Oct 6, 2008 Information Notice - 10/6/08
Effective Dates of New Consolidated Rules; Introduction of Rule Conversion Chart
Oct 8, 2010 Information Notice - 10/8/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Nov 12, 2008 Information Notice - 11/12/08
September 2008 Supplement to the Options Disclosure Document
Nov 12, 2013 Information Notice - 11/12/13
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Nov 20, 2012 Information Notice - 11/20/12
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Nov 25, 2014 Information Notice - 11/25/14
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Nov 26, 2012 Information Notice - 11/26/12
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
Nov 26, 2013 Information Notice - 11/26/13
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Nov 28, 2011 Information Notice - 11/28/11
Continuing Education

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