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 |
|---|---|---|
| Oct 31, 2014 | Regulatory Notice 14-45 |
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
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| Oct 27, 2014 | Regulatory Notice 14-44 |
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
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| Oct 23, 2014 | Regulatory Notice 14-43 |
SEC Approves Supplemental Inventory Schedule
Implementation Date: The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015.
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| Oct 17, 2014 | Regulatory Notice 14-42 |
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
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| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
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| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
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| Oct 15, 2014 | Election Notice - 10/15/14 |
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
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| Oct 10, 2014 | Regulatory Notice 14-41 |
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Oct 10, 2014 | Information Notice - 10/10/14 |
Continuing Education Planning
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| Oct 9, 2014 | Regulatory Notice 14-40 |
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
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| Oct 8, 2014 | Regulatory Notice 14-39 |
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
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| Oct 7, 2014 | Information Notice 10/7/14 |
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Oct 6, 2014 | Regulatory Notice 14-38 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Sep 30, 2014 | Regulatory Notice 14-37 |
FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
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| Sep 25, 2014 | Information Notice - 9/25/14 |
Individual Snapshot Reports Now Available Online
|
| Sep 17, 2014 | Regulatory Notice 14-36 |
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Effective Dates: September 30, 2014 (Elimination of OTCBB Historical Research Reports); November 17, 2014 (ORF Fees)
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| Sep 16, 2014 | Regulatory Notice 14-35 |
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
|
| Sep 3, 2014 | Election Notice - 9/3/14 |
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 3, 2014
This Election Notice was updated on 9/4/14 to include an additional partial term vacancy for District 5. |
| Sep 3, 2014 | Election Notice - 9/3/14 |
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 3, 2014
|
| Aug 26, 2014 | Regulatory Notice 14-34 |
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Effective Date: June 1, 2015
3/3/15: The effective date has been extended from April 27, 2015, to June 1, 2015. |
| Aug 14, 2014 | Regulatory Notice 14-33 |
FINRA Revises the Series 24 and 23 Examination Programs
Implementation Date: October 13, 2014
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| Aug 6, 2014 | Regulatory Notice 14-32 |
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
Implementation Date: August 12, 2014
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| Aug 1, 2014 | Election Notice - 8/1/14 |
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 15, 2014
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| Jul 30, 2014 | Regulatory Notice 14-31 |
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
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| Jul 11, 2014 | Regulatory Notice 14-30 |
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Effective Date: July 11, 2014
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