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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
Information Notice – 11/24/20
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice – 11/23/20
2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Regulatory Notice 20-39
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
Payment Deadline: December 14, 2020
Regulatory Notice 20-38
FINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Election Notice – 10/20/20
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 19, 2020
Election Notice – 10/20/20
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 19, 2020
Regulatory Notice 20-37
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Date: Effective Immediately
Information Notice - 10/15/20
Cybersecurity Background: Authentication Methods
Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Comment Period Expires: November 16, 2020
Regulatory Notice 20-35
FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Comment Period Expires: November 23, 2020
Regulatory Notice 20-32
FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud
Election Notice – 9/1/20
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2020
Election Notice – 9/1/20
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 1, 2020
Regulatory Notice 20-31
FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Regulatory Notice 20-30
Fraudsters Using Registered Representatives Names to Establish Imposter Websites
Election Notice – 8/17/20
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 1, 2020
Regulatory Notice 20-29
FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market
Comment Period Expires: October 16, 2020
Regulatory Notice 20-28
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 14, 2020
Regulatory Notice 20-27
FINRA Alerts Firms to Use of Fake FINRA Domain Name
Regulatory Notice 20-26
FINRA Shares Practices Firms Implemented to Prepare for the LIBOR Phase-out
Regulatory Notice 20-25
FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Effective Date: September 14, 2020
Information Notice – 7/17/20
Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules
Regulatory Notice 20-24
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Comment Period Expires: September 14, 2020
Regulatory Notice 20-23
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Election Notice – 7/8/20
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 20-22
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
Regulatory Notice 20-21
FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings
Regulatory Notice 20-20
FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
Information Notice – 6/25/20
FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education

New FINRA Gateway U4 filing experience will be available October 31. View more information on the adjusted launch date. 

Regulatory Notice 20-19
FINRA and ISG Announce the Update of Blue Sheet Data Elements and Repositioning of Exchange Code Field
Effective Date: Updates to Requestor and Exchange Codes are Effective Immediately; Reposition Exchange Code Field by November 30, 2020
Regulatory Notice 20-18
FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
Regulatory Notice 20-17
FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date: July 18, 2020
Regulatory Notice 20-16
FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
Regulatory Notice 20-15
FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards
Effective Date: September 14, 2020
Regulatory Notice 20-14
Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
Election Notice – 5/8/20
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, June 22, 2020
Regulatory Notice 20-13
FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
Regulatory Notice 20-12
FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA
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