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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
Regulatory Notice 13-39
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
Effective Date: November 7, 2013
Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: May 1, 2014
Regulatory Notice 13-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Payment Deadline: December 13, 2013
Regulatory Notice 13-36
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Implementation Date: December 16, 2013
Regulatory Notice 13-35
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
Effective Date: June 30, 2014
Information Notice - 10/25/13
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013
Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expires: February 3, 2014
Regulatory Notice 13-33
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 10/18/13
Continuing Education Planning
Election Notice 10/16/13
Notice of FINRA District Committee Elections and Ballots
Election Notice 10/16/13
Notice of SFAB Election and Ballots
Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA's Minor Rule Violation Plan
Effective Date: September 26, 2013
Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Regulatory Notice 13-30
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Effective Date: September 30, 2013
Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
Information Notice - 9/20/13
New S901 Regulatory Element Continuing Education Program
Election Notice - 9/4/13
Upcoming Election to Fill FINRA District Committee Vacancies
Election Notice - 9/4/13
FINRA Small Firm Advisory Board Election
Regulatory Notice 13-28
FINRA Revises the Series 16 Examination Program
Implementation Date: October 28, 2013
Regulatory Notice 13-27
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Effective Date: December 16, 2013
Regulatory Notice 13-26
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Election Notice - 8/2/13
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Trade Reporting Notice - 8/1/13
Frequently Asked Questions Regarding TRACE Reporting
Regulatory Notice 13-24
FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: July 22, 2013
Regulatory Notice 13-23
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 13-22
FINRA Revises the Series 55 Examination Program
Implementation Date: August 12, 2013
Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Regulatory Notice 13-21
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
Effective Date: July 1, 2013
Regulatory Notice 13-20
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
Effective Date: June 27, 2013
Regulatory Notice 13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
Effective Date: November 4, 2013
Election Notice - 5/10/13
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 24, 2013
Regulatory Notice 13-18
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Information Notice - 5/1/13
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 25, 2013
Regulatory Notice 13-17
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 13-16
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 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.

Trade Reporting Notice - 4/16/13
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Regulatory Notice 13-15
SEC Approves Amendments to FINRA Rule 6730(d) (2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
Effective Date: July 22, 2013
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