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
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
Apr 3, 2019 Special Notice – 4/3/19
2019 Involvement and Election Process Overview
Apr 3, 2019 Information Notice – 4/3/19
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
Mar 20, 2019 Regulatory Notice 19-09
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Mar 19, 2019 Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Mar 1, 2019 Regulatory Notice 19-07
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
Feb 25, 2019 Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
Feb 13, 2019 Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Feb 12, 2019 Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
Jan 28, 2019 Regulatory Notice 19-04
FINRA’s 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
Jan 25, 2019 Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Jan 22, 2019 Trade Reporting Notice – 1/22/19
TRACE Reporting of OTC Transactions in Listed Bonds

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