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 Pubsort ascending Title Description
Jun 12, 2017 Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
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
Jun 7, 2017 Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Effective Date: December 15, 2016
May 31, 2017 Regulatory Notice 17-21
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date for changes relating to DOL Fiduciary Rule: June 9, 2017; Implementation Date for changes relating to MSRB Rules: October 1, 2017
May 23, 2017 Election Notice - 5/23/17
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
May 15, 2017 Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
May 11, 2017 Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Effective Date: September 5, 2017
May 2, 2017 Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Apr 25, 2017 Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Apr 21, 2017 Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Apr 12, 2017 Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 12, 2017 Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text.

Apr 12, 2017 Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 10, 2017 Regulatory Notice 17-13
FINRA’s NAC Revises the Sanction Guidelines
Effective Immediately
Apr 7, 2017 Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Apr 3, 2017 Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Mar 30, 2017 Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Mar 24, 2017 Regulatory Notice 17-10
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Mar 9, 2017 Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
Mar 9, 2017 Regulatory Notice 17-09
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Effective Date: March 15, 2017
Feb 15, 2017 Regulatory Notice 17-08
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Effective Date: May 14, 2018
Feb 10, 2017 Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Feb 10, 2017 Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
Feb 1, 2017 Regulatory Notice 17-05
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Effective Date: February 6, 2017

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