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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 23-02
FINRA Amends FINRA Rule 2231
Effective Date: January 1, 2024
Regulatory Notice 23-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Election Notice - 12/16/2022
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Regulatory Notice 22-31
FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
Regulatory Notice 22-30
FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Comment Period Expires: March 17, 2023
Regulatory Notice 22-29
FINRA Alerts Firms to Increased Ransomware Risks
Regulatory Notice 22-28
FINRA Adopts Amendments to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Effective Date: November 6, 2023
Regulatory Notice 22-27
FINRA Adopts Enhancements to TRACE Reporting for U.S. Treasury Securities
Effective Dates: May 15, 2023 (Rule 6730(a)(4)) and November 6, 2023 (Rule 6730.04)
Regulatory Notice 22-26
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades
Comment Period Expires: January 30, 2023
Information Notice - 11/21/22
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice 11/18/22
2023 Holiday Margin Extensions Schedule

On December 16, 2022, FINRA updated this Information Notice to correct the Settlement Date and the Extension Due Dates associated with Regulation T, SEA Rule 15c3-3(m), FINRA Rule 4210(f)(6), and FINRA Rule 4210(g)(10)(D) for the December 25, 2023 – Christmas Day Holiday closing.

Regulatory Notice 22-25
Heightened Threat of Fraud
FINRA Alerts Firms to Recent Trend in Small-Capitalization IPOs
Regulatory Notice 22-24
FINRA Amends Rule 11880 to Revise the Syndicate Account Settlement Timeframe for Offerings of Corporate Debt Securities
Effective Date: January 1, 2023
Information Notice - 11/11/22
2023 and First Quarter of 2024 Report Filing Due Dates
Regulatory Notice 22-23
FINRA Provides Guidance on Succession Planning
Election Notice - 10/24/2022
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 23, 2022
Election Notice - 10/24/2022
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 23, 2022
Special Notice – 10/21/22
FINRA Requests Comment on Its Machine-Readable Rulebook Initiative
Comment Period Expires: December 20, 2022*

FINRA has extended the comment period to February 21, 2023.

Regulatory Notice 22-22
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2023
Payment Deadline: Dec. 12, 2022
Election Notice – 10/11/2022
Notice of Special Meeting of Large Firms and Proxy
Regulatory Notice 22-21
FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of Accounts Through ACATS
Regulatory Notice 22-20
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Date: Effective Immediately
Election Notice – 9/6/2022
Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 6, 2022
Election Notice – 9/6/22
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 6, 2022
Election Notice – 8/22/2022
FINRA Announces Nomination Process to Fill Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: October 6, 2022
Election Notice - 8/09/22
Special Election to Fill a FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: September 23, 2022
Regulatory Notice 22-19
Enhancement to ACATS “Receiver Delete” Functionality for Alternative Investments
FINRA Reminds Members of Their Obligations Under FINRA Rule 11870
Regulatory Notice 22-18
FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
Regulatory Notice 22-17
FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Comment Period Expires: October 3, 2022
Regulatory Notice 22-16
FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Effective Date: August 22, 2022
Election Notice – 7/20/22
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 22-15
FINRA Amends the Code of Arbitration Procedure for Industry Disputes to Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Effective Date: Immediate
Regulatory Notice 22-14
FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Comment Period Expires: September 20, 2022
Regulatory Notice 22-13
Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: October 3, 2022
Election Notice - 06/09/22
FINRA Board Large Firm Governor Election
Regulatory Notice 22-12
FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades
Effective Date: May 15, 2023
Election Notice – 05/16/22
Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Thursday, June 30, 2022

Due to a change in firm affiliations, the Large Firm Governor nominee listed in this Election Notice no longer qualifies for re-election. A special election for the Large Firm Governor seat will take place in the near future. The Small Firm Governor Election is not impacted and will proceed as announced in this Notice.

Information Notice – 05/06/22
March 2022 Options Disclosure Document
Special Notice – 4/22/22
2022 Election Process Overview
Information Notice - 4/21/22
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 14, 2022
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