Types of FINRA Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.

  • Regulatory Notices discuss FINRA rules (which until the adoption of a consolidated rulebook include NASD and certain NYSE rules) including notice of recently approved rules and amendments, proposed rules on which FINRA is soliciting comment, and legal interpretations and guidance relating to existing rules. Regulatory Notices may also address rules of the Securities and Exchange Commission (SEC) or other governmental agencies.
  • Election Notices announce timelines, nominations and results for Board of Governors, Small Firm Advisory Board and District Committee elections.
  • Trade Reporting Notices address trade reporting issues for FINRA regulatory systems, such as TRACE, ADF and TRF.
  • Information Notices provide general information on issues such as holiday schedules and other administrative notifications.