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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 22-04
FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly
Regulatory Notice 22-03
FINRA Adopts Amendments to Clarify the Application of FINRA Rules to Security-Based Swaps
Effective Dates: February 6, 2022 (Rules 0180, 4120 and 9610) and April 6, 2022 (Rules 4210, 4220 and 4240)
Regulatory Notice 22-02
FINRA Amends Rule 2251 Regarding Reimbursement Rates for Processing and Forwarding Proxy and Other Issuer-Related Materials
Effective Date: Immediate
Regulatory Notice 22-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Regulatory Notice 21-45
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 21-44
Business Continuity Planning and Lessons From the COVID-19 Pandemic
Regulatory Notice 21-43
Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 2022
Election Notice – 12/15/21
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Regulatory Notice 21-42
FINRA Alerts Firms to “Log4Shell” Vulnerability in Apache Log4j Software
Information Notice 11/23/21
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Regulatory Notice 21-41
FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
Effective Dates: March 15, 2022 (MQP (paragraph (c) of Rule 1240) and FSAWP (Rule 1210.09)); January 1, 2023 (all other rule changes)
Information Notice 11/12/21
2022 and First Quarter of 2023 Report Filing Due Dates
Regulatory Notice 21-40
FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
Regulatory Notice 21-39
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022
Payment Deadline: Dec. 13, 2021
Regulatory Notice 21-38
FINRA Announces Closure of the OTC Bulletin Board
Effective Date: November 8, 2021
Regulatory Notice 21-37
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Immediately
Election Notice – 10/19/21
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 18, 2021
Election Notice – 10/19/21
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 18, 2021
Information Notice 10/15/21
2022 Holiday Margin Extensions Schedule
Regulatory Notice 21-36
FINRA Encourages Firms to Consider How to Incorporate the Government-wide Anti-Money Laundering and Countering the Financing of Terrorism Priorities Into Their AML Programs
Regulatory Notice 21-35
FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
Regulatory Notice 21-34
FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
Effective Date: January 1, 2022
Regulatory Notice 21-33
FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
Effective Date: September 28, 2021
Regulatory Notice 21-32
FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
Regulatory Notice 21-31
FINRA Establishes New Supplemental Liquidity Schedule (SLS)
Effective Date: March 1, 2022. The first SLS must be completed as of the end of March 2022 and will be due by May 4, 2022.
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2021
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Regional Committee Election
Nomination Deadline: October 1, 2021
Regulatory Notice 21-30
FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
Regulatory Notice 21-28
FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
Effective Date of Rule 6439 (except paragraph (d)(1)(B)): October 1, 2021
Election Notice – 8/2/21
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 21-27
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 21-26
FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements
Implementation Date: October 1, 2021
Regulatory Notice 21-25
FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Regulatory Notice 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
Special Notice – 6/30/21
FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
Regulatory Notice 21-23
FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
Regulatory Notice 21-22
FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
Regulatory Notice 21-21
FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective Date: September 1, 2021
Regulatory Notice 21-20
FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
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