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 19, 2015 Information Notice – 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
Jun 9, 2017 Information Notice – 6/9/17
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: July 4, 2017
Jul 13, 2018 Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Sep 24, 2018 Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

The Notice was updated on September 28, 2018.

Feb 1, 1999 Notice to Members - February 1999
Year 2000 Update
Jan 1, 1999 Notice to Members - January 1999
Year 2000 Update
Jul 21, 2004 Notice to Members 04-52
Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
Apr 1, 1999 Notice to Members - April 1999
Year 2000 Update
Apr 1, 1999 Notice to Members - April 1999
For Your Information
Aug 10, 1999 Notice to Members - August 1999
For Your Information
Dec 10, 1999 Notice to Members - December 1999
For Your Information
Aug 10, 2000 Notice to Members - FYI - August 2000
For Your Information
Jan 1, 1999 Notice to Members - January 1999
For Your Information
Jul 1, 1999 Notice to Members - July 1999
For Your Information
Jun 1, 1999 Notice to Members - June 1999
For Your Information
Mar 1, 1999 Notice to Members - March 1999
For Your Information
Mar 1, 1999 Notice to Members - March 1999
Year 2000 Update
May 1, 1999 Notice to Members - May 1999
Year 2000 Update
Sep 10, 1999 Notice to Members - September 1999
For Your Information
Jan 10, 2000 Notice to Members 00-01
1999-2000 Renewal Rosters and Final Adjusted Statements
Jan 10, 2000 Notice to Members 00-02
NASD Alerts Members to Their Obligations Concerning Soliciting Business in Foreign Jurisdictions
Jan 10, 2000 Notice to Members 00-03
Annual Checklist of NASD Notices to Members
Jan 10, 2000 Notice to Members 00-04
Martin Luther King, Jr. Day and Presidents Day: Trade Date -- Settlement Date Schedule
Jan 10, 2000 Notice to Members 00-05
Fixed Income Pricing System Additions, Changes, and Deletions as of November 23, 1999
Jan 10, 2000 Notice to Members 00-06
The Countdown to Decimals

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