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
Jul 9, 2012 Election Notice - 7/9/12
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 9, 2014 Election Notice - 7/9/14
Notice of Annual Meeting of FINRA Firms and Proxy
Aug 1, 2014 Election Notice - 8/1/14
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 15, 2014
Aug 2, 2013 Election Notice - 8/2/13
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
Aug 26, 2008 Election Notice - 8/26/08
Nominee for Vacant FINRA Board of Governors Small Firm Seat
Aug 3, 2007 Election Notice - 8/3/07
Nominees for FINRA Board of Governors
Aug 3, 2012 Election Notice - 8/3/12
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
Aug 5, 2011 Election Notice - 8/5/11
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Sep 18, 2009 Election Notice - 9/18/09
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Sep 26, 2007 Election Notice - 9/26/07
FINRA Notice of Meeting and Proxy
Sep 3, 2010 Election Notice - 9/3/10
FINRA Small Firm Advisory Board Election
Sep 3, 2014 Election Notice - 9/3/14
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 3, 2014
Sep 3, 2014 Election Notice - 9/3/14
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 3, 2014
This Election Notice was updated on 9/4/14 to include an additional partial term vacancy for District 5.
Sep 4, 2009 Election Notice - 9/4/09
FINRA Small Firm Advisory Board Election
Sep 4, 2013 Election Notice - 9/4/13
Upcoming Election to Fill FINRA District Committee Vacancies
Sep 4, 2013 Election Notice - 9/4/13
FINRA Small Firm Advisory Board Election
Sep 5, 2012 Election Notice - 9/5/12
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 5, 2012
Sep 5, 2012 Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 5, 2012
Sep 7, 2011 Election Notice - 9/7/11
Nomination and Election Process to Fill FINRA District Committee Vacancies
Sep 7, 2011 Election Notice - 9/7/11
FINRA Small Firm Advisory Board Election
Oct 16, 2013 Election Notice 10/16/13
Notice of FINRA District Committee Elections and Ballots
Oct 16, 2013 Election Notice 10/16/13
Notice of SFAB Election and Ballots
Jan 24, 2017 Election Notice – 1/24/17
2017 Annual FINRA Election Cycle and Procedures Overview
Oct 1, 2015 Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Oct 14, 2015 Election Notice – 10/14/15
Notice of SFAB Election and Ballots
Ballot Due Date: November 13, 2015

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