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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
Regulatory Notice 19-31
Disclosure Innovations in Advertising and Other Communications with the Public
Regulatory Notice 19-30
SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
Effective date: June 1, 2020
Regulatory Notice 19-29
SEC Approves Amendments to Expand Published Data Relating to OTC Equity Trading Volume
Effective Date: November 4, 2019
Election Notice – 9/4/19
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 4, 2019
Election Notice – 9/4/19
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 4, 2019
Election Notice – 8/20/19
FINRA Announces Nomination Process to Fill Upcoming Firm Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 4, 2019
Regulatory Notice 19-28
Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
Regulatory Notice 19-26
Regulation Best Interest
SEC Adopts Best Interest Standard of Conduct
Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
Election Notice – 7/19/19
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 19-24
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions
Regulatory Notice 19-23
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
Regulatory Notice 19-21
Margin Requirements for Exchange-Traded Notes
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
Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election
Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
Information Notice 5/10/19
Understanding Short Sale Volume Data on FINRA’s Website
Regulatory Notice 19-18
FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
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
Information Notice – 4/29/19
Imposter Websites Impacting Member Firms
Regulatory Notice 19-16
SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019 [PDF]
Regulatory Notice 19-15
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing [PDF]
Regulatory Notice 19-14
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board [PDF]
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 [PDF]
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
Regulatory Notice 19-11
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 19-10
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
Special Notice – 4/3/19
2019 Involvement and Election Process Overview
Information Notice – 4/3/19
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
Regulatory Notice 19-09
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Regulatory Notice 19-07
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
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
Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
Regulatory Notice 19-04
FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
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