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 |
|---|---|---|
| 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.
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| Apr 4, 2016 | Regulatory Notice 16-10 |
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
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| Mar 15, 2016 | Information Notice – 3/15/16 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Mar 10, 2016 | Election Notice – 3/10/16 |
Annual FINRA Election Cycle and Procedures Overview
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| 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
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| Feb 8, 2016 | Regulatory Notice 16-08 |
Private Placements and Public Offerings Subject to a Contingency
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| 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
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| Jan 29, 2016 | Regulatory Notice 16-06 |
SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
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| Jan 26, 2016 | Regulatory Notice 16-05 |
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
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| 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
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| Jan 20, 2016 | Trade Reporting Notice – 1/20/16 |
OTC Equity Trading and Reporting in the Event of Systems Issues
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| 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
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| 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
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| Jan 8, 2016 | Information Notice – 1/8/16 |
Use of FINRA Logo
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| Jan 4, 2016 | Regulatory Notice 16-01 |
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 15, 2016
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| Dec 22, 2015 | Information Notice – 12/22/15 |
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
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| Dec 22, 2015 | Information Notice – 12/22/15 |
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Dec 18, 2015 | Election Notice – 12/18/15 |
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
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| Dec 14, 2015 | Information Notice – 12/14/15 |
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
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| Dec 9, 2015 | Regulatory Notice 15-52 |
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
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| Dec 8, 2015 | Regulatory Notice 15-51 |
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Effective Date: February 1, 2016
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| Dec 7, 2015 | Regulatory Notice 15-50 |
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
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| Nov 30, 2015 | Regulatory Notice 15-49 |
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Effective Date: December 12, 2015
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