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 |
|---|---|---|
| Dec 5, 2016 | Information Notice – 12/5/16 |
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524. These due dates take into account the federal holiday calendar as appropriate. |
| Mar 15, 2016 | Information Notice – 3/15/16 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
| May 16, 2016 | Information Notice – 5/16/16 |
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
|
| May 18, 2018 | Information Notice – 5/18/18 |
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
|
| 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
|