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
Nov 28, 2011 Information Notice - 11/28/11
Continuing Education
Nov 3, 2008 Information Notice - 11/3/08
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Dec 1, 2011 Information Notice - 12/1/11
2012 Annual Audit and FOCUS Report Filing Deadlines
Dec 10, 2012 Information Notice - 12/10/12
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 14, 2010 Information Notice - 12/14/10
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Dec 15, 2011 Information Notice - 12/15/11
2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 2, 2010 Information Notice - 12/2/10
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 20, 2007 Information Notice - 12/20/07
2007-2008 Filing Due Dates
Dec 21, 2007 Information Notice - 12/20/07
2008 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 23, 2008 Information Notice - 12/23/08
2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 23, 2013 Information Notice - 12/23/13
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 3, 2012 Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Dec 30, 2014 Information Notice - 12/30/14
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Dec 8, 2008 Information Notice - 12/8/08
Continuing Application of NASD Rules and Incorporated NYSE Rules
Feb 21, 2008 Information Notice - 2/21/08
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements
Effective Date: February 19, 2008
Feb 3, 2012 Information Notice - 2/3/12
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 21, 2012
Feb 9, 2012 Information Notice - 2/9/12
January 2012 Supplement to the Options Disclosure Document
Mar 1, 2012 Information Notice - 3/1/12
Revised Fee for Fingerprint Processing
Effective Date: March 19, 2012
Mar 10, 2008 Information Notice - 3/10/08
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act
Effective Date: April 1, 2008
Mar 10, 2010 Information Notice - 3/10/10
Information Notice 3/10/10
Effective Date: April 1, 2010
Mar 12, 2008 Information Notice - 3/12/08
Rulebook Consolidation Process
Mar 16, 2009 Information Notice - 3/16/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 10, 2009
Mar 18, 2015 Information Notice - 3/18/15
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Mar 24, 2010 Information Notice - 3/24/10
New Firm Requirement to Designate a Super Account Administrator
Mar 3, 2014 Information Notice - 3/3/14
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: March 18, 2014

Pages