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Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Information Notice - 10/19/12
Continuing Education Planning
Election Notice - 10/17/12
Notice of FINRA Small Firm Advisory Board Election and Ballots
Ballot Due: November 16, 2012
Election Notice - 10/17/12
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 16, 2012
Election Notice - 10/17/12
Notice of FINRA District Committee Election and Ballots

This Notice was updated on October 18, 2012, to update the Large Firm candidates for Districts 7 and 11, and on November 5, 2012, to update the Large Firm candidates for District 3.

Regulatory Notice 12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: December 20, 2012

Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.

Regulatory Notice 12-41
FINRA Amends the TAF Rate for Transactions in Covered Security Futures
Effective Date: October 1, 2012
Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
Effective Date: December 3, 2012
Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: November 19, 2012

Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.)

Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 5, 2012
Election Notice - 9/5/12
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 5, 2012
Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Regulatory Notice 12-38
SEC Approves Amendments to FINRA's Short-Interest Reporting Rule
Effective Date: November 30, 2012
Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Effective Date: August 13, 2012
Regulatory Notice 12-37
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Effective Date: November 5, 2012
The implementation date has been delayed until November 12, 2012.
Election Notice - 8/3/12
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: September 1, 2012
Regulatory Notice 12-36
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Effective Dates: November 30, 2012, and May 1, 2013

The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2014. See Regulatory Notice 13-38.

Election Notice - 7/9/12
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 12-35
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA's Mediator Roster
Effective Date: August 6, 2012
Regulatory Notice 12-34
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expires: August 31, 2012
Regulatory Notice 12-33
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Implementation Date: July 23, 2012

The July 23, 2012, implementation date for required use of the new electronic Form CMA has been revised by SR-FINRA-2012-036 to August 27, 2012. However, firms may begin using the electronic Form CMA on July 23, 2012. The implementation date for the amended electronic Form NMA remains July 23, 2012.

Regulatory Notice 12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees

This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.

Regulatory Notice 12-31
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2012
Regulatory Notice 12-30
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
Effective Date: July 23, 2012
Regulatory Notice 12-29
SEC Approves New Rules Governing Communications With the Public
Effective Date: February 4, 2013
Regulatory Notice 12-28
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
Effective Date: July 9, 2012
Regulatory Notice 12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expires: July 23, 2012
Regulatory Notice 12-26
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Effective Date: November 5, 2012
Regulatory Notice 12-25
Additional Guidance on FINRA's New Suitability Rule
Implementation Date: July 9, 2012

The answers to questions 6, 7 and 10 have been superseded by the answers provided in Regulatory Notice 12-55.

Regulatory Notice 12-24
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
Election Notice - 5/11/12
Nominees for Upcoming FINRA Board of Governors Election
Regulatory Notice 12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expires: June 4, 2012
Regulatory Notice 12-22
New Electronic Filing System for Public Offering Filings
Regulatory Notice 12-21
SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Effective Date: May 21, 2012
Regulatory Notice 12-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 4/13/12
Continuing Education Planning
Regulatory Notice 12-19
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Effective Date: June 4, 2012
Regulatory Notice 12-18
on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
Regulatory Notice 12-17
SEC Approves Consolidated Telemarketing Rule
Effective Date: June 29, 2012
Regulatory Notice 12-17
SEC Approves Consolidated Telemarketing Rule
Effective Date: June 29, 2012
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