2011 Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order, and you may view them by subject.

 
January | February | March | April | May | June | July | August | September | October | November | December
 

December 2011

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Regulatory Notices
11-56 FINRA and ISG Enhance Electronic Blue Sheet Submissions
The effective date for compliance with certain elements identified in this Notice has been extended to May 1, 2013. See Regulatory Notice 12-47.
Effective Date: August 31, 2012
Posted on: 12/13/2011
11-55 FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
Effective Date: December 15, 2011
Posted on: 12/8/2011
Election Notices
12/14/2011 Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
Posted on: 12/14/2011
Trade Reporting Notices
12/21/2011 FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Posted on: 12/21/2011
Information Notices
12/15/2011 2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Posted on: 12/15/2011
12/1/2011 2012 Annual Audit and FOCUS Report Filing Deadlines
Posted on: 12/1/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 12/15/2011
 

November 2011

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Regulatory Notices
11-54 FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
Posted on: 11/30/2011
11-53 SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
Posted on: 11/21/2011
11-52 FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Posted on: 11/11/2011
11-51 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Payment Deadline: December 12, 2011
Posted on: 11/2/2011
11-50 SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Effective Date: December 2, 2011
Posted on: 11/2/2011
Election Notices
11/29/2011 FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
Posted on: 11/29/2011
Trade Reporting Notices
11/7/2011 Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Posted on: 11/7/2011
Information Notices
11/28/2011 Continuing Education
Posted on: 11/28/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 11/15/2011
 

October 2011

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Regulatory Notices
11-49 FINRA Provides Guidance on Advertising Regulation Issues
Posted on: 10/27/2011
11-48 FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expired: December 9, 2011
Posted on: 10/21/2011
11-47 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 10/14/2011
11-46 FINRA to Require Electronic Submission of Annual Audit Reports
Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011.
Posted on: 10/3/2011
Election Notices
10/25/2011 Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
The special meeting of large firms will take place on Thursday, January 12, 2012, at 4:30 p.m. Eastern Time at FINRA's Washington, DC, office at 1735 K Street, NW. Please see Election Notice 12/14/11 for details.
Posted on: 10/25/2011
10/19/2011 Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Posted on: 10/19/2011
10/19/2011 Notice of FINRA Small Firm Advisory Board Election and Ballots
Posted on: 10/19/2011
10/19/2011 Notice of FINRA District Committee Election and Ballots
Posted on: 10/19/2011
Information Notices
10/28/2011 FINRA Entitlement User Account Certification
Posted on: 10/28/2011
10/14/2011 Continuing Education Planning
Posted on: 10/14/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 10/17/2011
 

September 2011

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Regulatory Notices
11-45 FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Implementation Date: November 7, 2011
Posted on: 9/29/2011
11-44 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expired: November 12, 2011
Posted on: 9/29/2011
11-43 FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expired: October 21, 2011
Posted on: 9/20/2011
11-42 Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Posted on: 9/16/2011
11-41 FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Posted on: 9/12/2011
Election Notices
9/7/2011 FINRA Small Firm Advisory Board Election
Posted on: 9/7/2011
9/7/2011 Nomination and Election Process to Fill FINRA District Committee Vacancies
Posted on: 9/7/2011
Trade Reporting Notices
9/23/2011 Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Posted on: 9/23/2011
9/23/2011 FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
Posted on: 9/23/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 9/15/2011
 

August 2011

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Regulatory Notices
11-40 SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution
Effective Date: November 1, 2011
Posted on: 8/29/2011
11-39 Guidance on Social Networking Websites and Business Communications
Posted on: 8/18/2011
11-38 Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Posted on: 8/8/2011
11-37 Trading Pause Rule Expanded to All NMS Stocks
Effective Date: August 8, 2011
Posted on: 8/5/2011
11-36 Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
The contact for this Notice was updated on 3/20/12.
Effective Date: September 1, 2011
Posted on: 8/3/2011
Election Notices
8/5/2011 FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Posted on: 8/5/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 8/15/2011
 

July 2011

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Regulatory Notices
11-35 FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Effective Date: August 8, 2011
Posted on: 7/29/2011
11-34 FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
Posted on: 7/27/2011
11-33 SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ.
Effective Date: October 17, 2011
Posted on: 7/22/2011
11-32 FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Posted on: 7/18/2011
11-31 Interim Pilot Program on Margin Requirements for Credit Default Swaps
This Notice was updated 07/18/11 to reflect approval of the use of an additional margin methodology for purposes of FINRA Rule 4240.
Effective Date: July 16, 2011
Posted on: 7/15/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 7/15/2011
 

June 2011

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Regulatory Notices
11-30 FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
New Effective Date: October 3, 2011
Posted on: 6/27/2011
11-29 Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
Posted on: 6/17/2011
11-28 FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expired: August 1, 2011
Posted on: 6/16/2011
11-27 SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2011
Posted on: 6/8/2011
Election Notices
6/29/2011 Notice of Annual Meeting of FINRA Firms and Proxy
Posted on: 6/29/2011
Trade Reporting Notices
6/3/2011 FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
Posted on: 6/3/2011
Information Notices
6/28/2011 FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
The contact for this Notice was updated on 10/25/11.
Posted on: 6/28/2011
6/6/2011 FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Posted on: 6/6/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 6/15/2011
 

May 2011

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Regulatory Notices
11-26 SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Effective Date: August 1, 2011
Posted on: 5/27/2011
11-25 New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Implementation Date: July 9, 2012
Posted on: 5/18/2011
11-24 SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
Posted on: 5/12/2011
11-23 Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
Posted on: 5/6/2011
11-22 Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
Posted on: 5/6/2011
11-21 SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Effective Date: January 1, 2012
Posted on: 5/5/2011
11-20 SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
Effective Date: May 16, 2011
Posted on: 5/2/2011
Election Notices
5/3/2011 Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
Posted on: 5/3/2011
Trade Reporting Notices
5/10/2011 Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
Posted on: 5/10/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 5/16/2011
 

April 2011

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Regulatory Notices
11-19 SEC Approves Consolidated FINRA Rules Governing Books and Records
Effective Date: December 5, 2011
Posted on: 4/27/2011
11-18 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Posted on: 4/15/2011
11-17 Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Effective Date: May 16, 2011
Posted on: 4/15/2011
11-16 Treatment of Non-Margin Eligible Equity Securities
Effective Date: July 1, 2011
Posted on: 4/7/2011
11-15 Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Posted on: 4/4/2011
Information Notices
4/20/2011 March 2011 Supplement to the Options Disclosure Document
Posted on: 4/20/2011
4/15/2011 Continuing Education Planning
Posted on: 4/15/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 4/15/2011
 

March 2011

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Regulatory Notices
11-14 FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expired: May 13, 2011
Posted on: 3/29/2011
11-13 FINRA Revises Sanction Guidelines
Effective Immediately
Posted on: 3/22/2011
11-12 FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act
Posted on: 3/18/2011
11-11 FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 25, 2011
Posted on: 3/11/2011
11-10 FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
Posted on: 3/4/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 3/15/2011
 

February 2011

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Regulatory Notices
11-09 New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
Effective Date: March 14, 2011
Posted on: 2/22/2011
11-08 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: March 28, 2011
Posted on: 2/10/2011
11-07 FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
Posted on: 2/9/2011
11-06 SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
Effective Date: July 1, 2011
Posted on: 2/3/2011
11-05 Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
Posted on: 2/1/2011
Information Notices
2/7/2011 January 2011 Supplement to the Options Disclosure Document
Posted on: 2/7/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 2/15/2011
 

January 2011

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Regulatory Notices
11-04 FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expired: March 14, 2011
Posted on: 1/11/2011
11-03 FINRA Expands the Order Audit Trail System to All NMS Stocks
The implementation date has been delayed to October 17, 2011.
Effective Date: July 11, 2011
Posted on: 1/11/2011
11-02 SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
The effective date has been delayed to July 9, 2012
Effective Date: October 7, 2011
Posted on: 1/10/2011
11-01 2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 4, 2011
Posted on: 1/4/2011
Information Notices
1/6/2011 New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 21, 2011
Posted on: 1/6/2011
Disciplinary Actions
Disciplinary and Other FINRA Actions
Posted on: 1/18/2011