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
Jul 28, 2015 Election Notice - 7/28/15
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 11, 2015
Jul 16, 2015 Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
Jun 30, 2015 Election Notice - 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Jun 29, 2015 Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Jun 23, 2015 Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
Jun 19, 2015 Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Jun 19, 2015 Information Notice - 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
Jun 17, 2015 Regulatory Notice 15-22
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Comment Period Expires: August 17, 2015
Jun 8, 2015 Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Effective Date: July 6, 2015
May 27, 2015 Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Comment Period Expires: July 27, 2015
May 27, 2015 Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Comment Period Expires: July 13, 2015
May 27, 2015 Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
May 22, 2015 Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
May 18, 2015 Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
May 12, 2015 Regulatory Notice 15-15
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Effective Immediately
May 6, 2015 Regulatory Notice 15-14
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Effective Date: November 2, 2015
May 5, 2015 Regulatory Notice 15-13
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
Apr 29, 2015 Regulatory Notice 15-12
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Apr 27, 2015 Election Notice - 4/27/15
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 11, 2015
Apr 10, 2015 Regulatory Notice 15-11
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Apr 10, 2015 Information Notice - 4/10/15
Continuing Education Planning
Mar 31, 2015 Information Notice - 3/31/15
FINRA Survey to Create the Securities Trader Qualification Examination
Mar 30, 2015 Regulatory Notice 15-10
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
Mar 26, 2015 Regulatory Notice 15-09
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Mar 25, 2015 Regulatory Notice 15-08
Changes to Qualification Examination Fees
Effective Date: April 1, 2015

This Notice was updated on 3/26/15 to clarify the fees charged for examinations sponsored by the MSRB and administered and delivered by FINRA.

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