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
Aug 16, 2019 Regulatory Notice 19-28
Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
Aug 9, 2019 Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
Aug 7, 2019 Regulatory Notice 19-26
Regulation Best Interest
SEC Adopts Best Interest Standards of Conduct
Jul 26, 2019 Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
Jul 19, 2019 Election Notice – 7/19/19
Notice of Annual Meeting of FINRA Firms and Proxy
Jul 19, 2019 Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
Jul 18, 2019 Regulatory Notice 19-24
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Jul 16, 2019 Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions
Jul 11, 2019 Regulatory Notice 19-23
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
Jul 9, 2019 Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
Jul 1, 2019 Regulatory Notice 19-21
Margin Requirements for Exchange-Traded Notes
May 30, 2019 Regulatory Notice 19-20
SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
May 24, 2019 Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 8, 2019
May 21, 2019 Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
May 10, 2019 Information Notice 5/10/19
Understanding Short Sale Volume Data on FINRA’s Website
May 6, 2019 Regulatory Notice 19-18
FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
May 2, 2019 Regulatory Notice 19-17
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
Apr 29, 2019 Information Notice – 4/29/19
Imposter Websites Impacting Member Firms
Apr 22, 2019 Regulatory Notice 19-16
SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019
Apr 19, 2019 Regulatory Notice 19-15
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
Apr 17, 2019 Regulatory Notice 19-14
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Apr 16, 2019 Regulatory Notice 19-13
SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts
Effective Date: May 6, 2019
Apr 12, 2019 Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
Apr 9, 2019 Regulatory Notice 19-11
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Apr 5, 2019 Regulatory Notice 19-10
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

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