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 Titlesort descending Description
Dec 18, 2009 Election Notice - 12/18/09
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
Dec 5, 2014 Election Notice - 12/5/14
FINRA Announces Results of SFAB, NAC and District Committee Elections
Dec 6, 2012 Election Notice - 12/6/12
FINRA Announces Results of SFAB, NAC and District Committee Elections
Dec 8, 2008 Election Notice - 12/8/08
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
Feb 12, 2010 Election Notice - 2/12/10
Nominees for the District Committees and District Nominating Committees
Feb 23, 2009 Election Notice - 2/23/09
Nominees for the District Committees and District Nominating Committees
Feb 27, 2008 Election Notice - 2/27/08
Nominees for the District Committees and District Nominating Committees
Feb 5, 2009 Election Notice - 2/5/09
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
Mar 24, 2009 Election Notice - 3/24/09
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
Mar 27, 2009 Election Notice - 3/27/09
Nominees for Vacant FINRA Board of Governors Large Firm Seats
Mar 29, 2010 Election Notice - 3/29/10
FINRA Announces Election Results for District Committees, District Nominating Committees
Apr 11, 2008 Election Notice - 4/11/08
Election Results for District Committees and District Nominating Committees
Apr 27, 2015 Election Notice - 4/27/15
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 11, 2015
May 10, 2013 Election Notice - 5/10/13
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 24, 2013
May 11, 2012 Election Notice - 5/11/12
Nominees for Upcoming FINRA Board of Governors Election
May 15, 2009 Election Notice - 5/15/09
Notice of Special Meeting of Large Firms and Proxy
May 23, 2017 Election Notice - 5/23/17
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 7, 2017
May 3, 2011 Election Notice - 5/3/11
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
May 4, 2010 Election Notice - 5/4/10
Nominees for FINRA Board of Governors
May 6, 2014 Election Notice - 5/6/14
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 20, 2014
Jun 29, 2011 Election Notice - 6/29/11
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 12, 2010 Election Notice - 7/12/10
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 20, 2009 Election Notice - 7/20/09
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Jul 30, 2010 Election Notice - 7/30/10
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Jul 5, 2013 Election Notice - 7/5/13
Notice of Annual Meeting of FINRA Firms and Proxy

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