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 |
|---|---|---|
| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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| 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. |
| Mar 20, 2015 | Regulatory Notice 15-07 |
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Effective Date: August 24, 2015
|
| Mar 19, 2015 | Regulatory Notice 15-06 |
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Comment Period Expires: May 18, 2015
|
| Mar 18, 2015 | Information Notice - 3/18/15 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Mar 6, 2015 | Regulatory Notice 15-05 |
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Effective Date of FINRA Rule 3110(e): July 1, 2015, Effective Date of FINRA Rule 3110.15: April 24, 2014, to December 1, 2015
|
| Feb 9, 2015 | Regulatory Notice 15-04 |
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Comment Period Expires: April 10, 2015
|
| Feb 6, 2015 | Regulatory Notice 15-03 |
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Comment Period Expires: April 7, 2015
|
| Jan 20, 2015 | Information Notice - 1/20/15 |
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
|