Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Regulatory Notice 11-27 | SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Effective Date: July 1, 2011
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| Information Notice - 6/6/11 | 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
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| Trade Reporting Notice - 6/3/11 | FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Effective Date: July 5, 2011
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| Regulatory Notice 11-26 | SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Effective Date: August 1, 2011
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| Regulatory Notice 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
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| Regulatory Notice 11-24 | SEC Approves Consolidated FINRA Customer Order Protection Rule
Effective Date: September 12, 2011
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| Trade Reporting Notice - 5/10/11 | Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
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| Regulatory Notice 11-23 | Five-Day Period for Replies to Responses to Motions in Arbitration
Effective Date: June 6, 2011
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| Regulatory Notice 11-22 | Arbitration Panel Composition for Promissory Note Disputes
Effective Date: June 6, 2011
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| Election Notice - 5/3/11 | Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
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| Regulatory Notice 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
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| Regulatory Notice 11-19 | SEC Approves Consolidated FINRA Rules Governing Books and Records
Effective Date: December 5, 2011
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| Information Notice - 4/20/11 | March 2011 Supplement to the Options Disclosure Document
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| Regulatory Notice 11-18 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/15/11 | Continuing Education Planning
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| Regulatory Notice 11-16 | Treatment of Non-Margin Eligible Equity Securities
Effective Date: July 1, 2011
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| Regulatory Notice 11-15 | Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
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| Regulatory Notice 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 Expires: May 13, 2011
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| Regulatory Notice 11-13 | FINRA Revises Sanction Guidelines
Effective Immediately
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| Regulatory Notice 11-12 | FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act
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| Regulatory Notice 11-11 | FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: April 25, 2011
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| Regulatory Notice 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
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| Regulatory Notice 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
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| Regulatory Notice 11-08 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expires: March 28, 2011
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| Regulatory Notice - 11-07 | FINRA Revises the Sanction Guidelines
Effective Date: February 9, 2011
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| Information Notice - 01/07/11 | January 2011 Supplement to the Options Disclosure Document
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| Regulatory Notice - 11-05 | Customer Option to Choose an All Public Arbitration Panel in All Cases
Effective Date: February 1, 2011
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| Regulatory Notice 11-04 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expires: March 14, 2011
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| Regulatory Notice 11-03 | FINRA Expands the Order Audit Trail System to All NMS Stocks
Effective Date: July 11, 2011
The implementation date has been delayed to October 17, 2011. |
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| Information Notice - 1/6/11 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 21, 2011
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| Regulatory Notice 11-01 | 2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: February 4, 2011
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| Regulatory Notice 10-62 | SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: June 17, 2011
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| Information Notice - 12/14/10 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Information Notice - 12/2/10 | 2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Regulatory Notice 10-60 | SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
Effective Date: May 27, 2011
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| Regulatory Notice 10-59 | SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
Effective Date: December 29, 2010
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| Regulatory Notice 10-58 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011
Payment Deadline: December 13, 2010
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| Regulatory Notice 10-57 | Funding and Liquidity Risk Management Practices
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| Regulatory Notice 10-56 | SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Effective Date: November 1, 2010
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| Regulatory Notice 10-55 | FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Effective Date: May 16, 2011
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