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
Aug 19, 2016 Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016.
Aug 21, 2017 Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
Aug 29, 2018 Election Notice – 8/29/18
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
Sep 2, 2015 Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
Sep 2, 2015 Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
Sep 7, 2016 Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
Sep 7, 2016 Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
Sep 8, 2017 Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
Sep 8, 2017 Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
Feb 7, 2011 Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Jan 20, 2015 Information Notice - 1/20/15
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
Jan 24, 2013 Information Notice - 1/24/13
November 2012 Supplement to the Options Disclosure Document
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

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