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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 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
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
Regulatory Notice 20-11
FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Effective Date: June 29, 2020
Information Notice – 4/8/20
Members of the U.S. Subgroup of the Intermarket Surveillance Group (ISG) Announce the Establishment of the Cross-Market Regulation Working Group (CMRWG)
Information Notice – 3/26/20
Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
Regulatory Notice 20-10
FINRA Amends the FINRA Corporate Financing Rule
Implementation date: Implementation Date for Amended Rule 5110(a)(3)(A), (a)(4)(A)(ii) and (a)(4)(A)(iii): March 20, 2020; Implementation Date of All Other Requirements: September 16, 2020
Regulatory Notice 20-09
2020 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 20-08
Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
Regulatory Notice 20-07
FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts
Regulatory Notice 20-06
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 20-05
FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Comment Period Expires: June 30, 2020

In response to requests for an extension, the comment period has been extended to June 30, 2020.

Special Notice – 2/14/20
2020 Involvement and Election Process Overview
Information Notice – 2/3/20
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 18, 2020
Regulatory Notice 20-04
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.

In response to requests for an extension, the comment period has been extended to June 30, 2020. 

Information Notice – 1/23/20
Heightened Terror Threat Risk
Regulatory Notice 20-03
Retrospective Rule Review Report
Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
Regulatory Notice 20-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 17, 2020
Election Notice – 12/19/19
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Regulatory Notice 19-37
SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Effective Date: January 1, 2020
Information Notice – 12/9/19
2020 Holiday Margin Extensions Schedule
Information Notice – 11/26/19
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Regulatory Notice 19-36
FINRA Requests Comment on a Proposed 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
Comment Period Expires: January 10, 2020
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