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 |
|---|---|---|
| Oct 19, 2016 | Regulatory Notice 16-39 |
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Reporting Implementation Date: July 10, 2017
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| Oct 19, 2016 | Election Notice – 10/19/16 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
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| Oct 17, 2016 | Regulatory Notice 16-38 |
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Effective Date: March 20, 2017
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| Oct 17, 2016 | Regulatory Notice 16-37 |
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
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| Oct 7, 2016 | Trade Reporting Notice – 10/7/16 |
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016. |
| Sep 26, 2016 | Regulatory Notice 16-36 |
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
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| Sep 22, 2016 | Regulatory Notice 16-35 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Sep 7, 2016 | Election Notice – 9/7/16 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
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| Sep 7, 2016 | Election Notice – 9/7/16 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
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| Aug 31, 2016 | Regulatory Notice 16-34 |
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
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| Aug 26, 2016 | Trade Reporting Notice – 8/26/16 |
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
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| Aug 24, 2016 | Regulatory Notice 16-33 |
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Effective Date: September 12, 2016
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| Aug 19, 2016 | Regulatory Notice 16-32 |
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
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| Aug 19, 2016 | Election Notice – 8/19/16 |
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016. |
| Aug 12, 2016 | Regulatory Notice 16-31 |
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
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| Aug 12, 2016 | Election Notice – 8/12/16 |
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
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| Aug 10, 2016 | Regulatory Notice 16-30 |
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
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| Aug 8, 2016 | Regulatory Notice 16-29 |
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
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| Aug 8, 2016 | Regulatory Notice 16-28 |
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Implementation Date: November 7, 2016
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| Aug 4, 2016 | Regulatory Notice 16-27 |
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Effective Date: August 11, 2016
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| Jul 29, 2016 | Regulatory Notice 16-26 |
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Effective date: August 22, 2016
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| Jul 22, 2016 | Regulatory Notice 16-25 |
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
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| Jul 14, 2016 | Regulatory Notice 16-24 |
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
Effective Date: December 30, 2016
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| Jul 7, 2016 | Regulatory Notice 16-23 |
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
Effective Date: August 15, 2016; Phase 1 Implementation Date (systems that capture in milliseconds): February 20, 2017; Phase 2 Implementation Date (systems that do not capture in milliseconds): February 19, 2018
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| Jun 30, 2016 | Regulatory Notice 16-22 |
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
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