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 Title Description
Nov 6, 2015 Regulatory Notice 15-44
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
Nov 4, 2015 Information Notice – 11/4/15
CE Online and S101 Personalization
Nov 3, 2015 Regulatory Notice 15-43
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Effective Date: November 3, 2015
Nov 2, 2015 Regulatory Notice 15-42
FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 2015
Oct 27, 2015 Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Effective Date: November 30, 2015
Oct 26, 2015 Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015
Oct 23, 2015 Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
Oct 23, 2015 Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Oct 23, 2015 Information Notice – 10/23/15
Continuing Education Planning
Oct 15, 2015 Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
Oct 14, 2015 Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 2015
Oct 14, 2015 Election Notice – 10/14/15
Notice of SFAB Election and Ballots
Ballot Due Date: November 13, 2015
Oct 12, 2015 Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
Oct 7, 2015 Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
Oct 2, 2015 Regulatory Notice 15-35
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
Oct 2, 2015 Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Effective Date: March 30, 2016
Oct 1, 2015 Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Sep 15, 2015 Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Sep 8, 2015 Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Sep 2, 2015 Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
Sep 2, 2015 Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
Aug 26, 2015 Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

Aug 26, 2015 Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Effective Date: September 25, 2015, or December 24, 2015
Aug 10, 2015 Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Implementation Date: September 28, 2015
Aug 3, 2015 Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Effective Date: October 1, 2015

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