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 |
|---|---|---|
| May 27, 2016 | Regulatory Notice 16-20 |
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Effective Date: August 1, 2016
|
| May 26, 2016 | Regulatory Notice 16-19 |
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
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| May 16, 2016 | Regulatory Notice 16-18 |
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Effective Date: November 11, 2016
|
| May 16, 2016 | Information Notice – 5/16/16 |
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
|
| May 5, 2016 | Regulatory Notice 16-17 |
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
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| May 5, 2016 | Regulatory Notice 16-16 |
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Apr 27, 2016 | Regulatory Notice 16-15 |
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
|
| Apr 22, 2016 | Regulatory Notice 16-14 |
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
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| Apr 20, 2016 | Regulatory Notice 16-13 |
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
|
| Apr 18, 2016 | Regulatory Notice 16-12 |
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
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| Apr 5, 2016 | Regulatory Notice 16-11 |
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016.
|
| Apr 4, 2016 | Regulatory Notice 16-10 |
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
|
| Mar 15, 2016 | Information Notice – 3/15/16 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
|
| Mar 10, 2016 | Election Notice – 3/10/16 |
Annual FINRA Election Cycle and Procedures Overview
|
| Mar 4, 2016 | Regulatory Notice 16-09 |
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
|
| Feb 8, 2016 | Regulatory Notice 16-08 |
Private Placements and Public Offerings Subject to a Contingency
|
| Jan 29, 2016 | Regulatory Notice 16-07 |
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other Than Registration Requirements): May 16, 2016
|
| Jan 29, 2016 | Regulatory Notice 16-06 |
SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
|
| Jan 26, 2016 | Regulatory Notice 16-05 |
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
|
| Jan 20, 2016 | Trade Reporting Notice – 1/20/16 |
OTC Equity Trading and Reporting in the Event of Systems Issues
|
| Jan 20, 2016 | Information Notice – 1/20/16 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
|
| Jan 15, 2016 | Regulatory Notice 16-04 |
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.
Effective Date: December 20, 2015
|
| Jan 14, 2016 | Regulatory Notice 16-03 |
SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
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| Jan 11, 2016 | Regulatory Notice 16-02 |
FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
|
| Jan 8, 2016 | Information Notice – 1/8/16 |
Use of FINRA Logo
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