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
Sep 20, 2007 Information Notice - 9/20/07
Fingerprint Processing Fees
Sep 20, 2013 Information Notice - 9/20/13
New S901 Regulatory Element Continuing Education Program
Sep 25, 2014 Information Notice - 9/25/14
Individual Snapshot Reports Now Available Online
Sep 7, 2010 Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
Oct 2, 2009 Information Notice 10/2/09
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Oct 7, 2014 Information Notice 10/7/14
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Nov 9, 2009 Information Notice 11/09/09
Changes to the S101 and S106 Regulatory Element Continuing Education Programs
Nov 26, 2007 Information Notice 11/26/07
Continuing Education Planning
Dec 9, 2009 Information Notice 12/09/09
Certification of Annual Audits
Dec 14, 2009 Information Notice 12/14/09
2010 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Dec 24, 2009 Information Notice 12/24/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 15, 2010
Dec 29, 2009 Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Feb 29, 2012 Information Notice 2/9/12
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Apr 15, 2010 Information Notice 4/15/10
Continuing Education Planning
Apr 29, 2009 Information Notice 4/29/09
Use of FINRA Logo
Jun 15, 2010 Information Notice 6/15/10
May 2010 Supplement to the Options Disclosure Document
Jul 10, 2014 Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective: September 8, 2014
Aug 17, 2012 Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
Sep 29, 2009 Information Notice 9/29/09
Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
Jan 20, 2016 Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
Jan 8, 2016 Information Notice – 1/8/16
Use of FINRA Logo
Oct 17, 2017 Information Notice – 10/17/17
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Oct 23, 2015 Information Notice – 10/23/15
Continuing Education Planning
Nov 21, 2017 Information Notice – 11/21/17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 22, 2016 Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving

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