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
Jun 3, 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
Jul 1, 2008 Trade Reporting Notice - 7/1/08
FINRA Announces the Effective Date of Modifications to the TRACE System
Effective Date: August 4, 2008
Jul 11, 2014 Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Jul 28, 2008 Trade Reporting Notice - 7/28/08
FINRA Extends Effective Date of Modifications to the TRACE System to November 3, 2008
Aug 1, 2013 Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Aug 14, 2008 Trade Reporting Notice - 8/14/08
Trade Reporting Frequently Asked Questions
Aug 19, 2010 Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier
Sep 17, 2010 Trade Reporting Notice - 9/17/10
Price Validation and Price-Override Protocol
Sep 23, 2011 Trade Reporting Notice - 9/23/11
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Sep 23, 2011 Trade Reporting Notice - 9/23/11
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Jan 20, 2016 Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Oct 7, 2015 Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
Oct 7, 2016 Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016.

Nov 7, 2011 Trade Reporting Notice – 11/7/11
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Dec 5, 2016 Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Apr 3, 2017 Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Jun 12, 2017 Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Aug 26, 2016 Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016

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