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
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
Jan 17, 2019 Information Notice – 1/17/19
October 2018 Supplement to the Options Disclosure Document
Jan 9, 2019 Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Jan 8, 2019 Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
Jan 2, 2019 Regulatory Notice 19-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
Dec 21, 2018 Information Notice – 12/21/18
2019 Holiday Margin Extensions Schedule
Dec 21, 2018 Election Notice - 12/21/18
FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
Dec 18, 2018 Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Dec 17, 2018 Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays