Notices

SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies

Effective Date: January 30, 2017

SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers

Effective Date: August 1, 2016

FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions

SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative

Effective Date: November 11, 2016

Elimination of Continuing Education Delivery at Testing Centers

Effective: July 1, 2016

FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions

2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems

Effective Date: July 18, 2016

FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data

Implementation Date: October 3, 2016

Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities

FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products

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

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

Annual FINRA Election Cycle and Procedures Overview

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

Private Placements and Public Offerings Subject to a Contingency

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

SEC Approval of FINRA Funding Portal Rules and Related Forms

Effective Date: January 29, 2016

SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports

New Rate for Fees Paid Under Section 31 of the Exchange Act

Effective Date: February 16, 2016

OTC Equity Trading and Reporting in the Event of Systems Issues

SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc

Effective Date: December 20, 2015

SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities

Implementation Date: December 14, 2015

FINRA Revises the Series 9/10 Examination Program

Implementation Date: March 7, 2016

Use of FINRA Logo

2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015

FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments

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)

SEC Staff Provides Insight Into Firms' Obligations When Providing Stock Quote Information to Customers

Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities

Effective Date: February 1, 2016

SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck

Effective Date: June 6, 2016

SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck

Effective Date: December 12, 2015

SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems

Effective Date: April 2, 2016

FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving

SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report

Implementation Date: May 23, 2016

Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets

FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements

Implementation Date: January 4, 2016

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

Effective Date: November 1, 2017