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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
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
Election Notice – 6/4/21
Nominees for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 19, 2021
Regulatory Notice 21-19
FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021

FINRA has extended the comment period to September 30, 2021.

Information Notice 6/3/21
Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule
Regulatory Notice 21-18
FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
Regulatory Notice 21-17
FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
Special Notice – 4/28/21
2021 Election Process Overview
Regulatory Notice 21-16
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
Regulatory Notice 21-15
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
Special Notice – 3/26/21
2021 Advisory Committee Overview and Engagement Notice
Regulatory Notice 21-14
FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
Regulatory Notice 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
Regulatory Notice 21-12
FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
Regulatory Notice 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
Regulatory Notice 21-10
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Effective Date: May 22, 2021
Regulatory Notice 21-09
FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
Effective Dates: Amendments to the FINRA Rule 9200 Series, FINRA Rule 9300 Series, and FINRA Rule 9556: April 15, 2021; Amendments to FINRA Rule 8312: May 1, 2021; Amendments to the FINRA Rule 9520 Series and Funding Portal Rule 900: June 1, 2021; Amendments to the FINRA Rule 1000 Series and the Capital Acquisition Broker Rule 100 Series: September 1, 2021
Regulatory Notice 21-08
FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name
Regulatory Notice 21-07
FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
Regulatory Notice 21-06
2021 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Effective Date: Immediate
Information Notice 2/16/21
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 25, 2021
Regulatory Notice 21-04
FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
Effective Date: April 19, 2021
Regulatory Notice 21-03
FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
Information Notice – 2/3/21
Exercise Cut-Off Time for Expiring Options
Regulatory Notice 21-02
FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions
Effective Date: May 17, 2021

FINRA has revised the effective date of this Notice to July 26, 2021. 

Regulatory Notice 21-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2021
Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Comment Period Expires: February 22, 2021
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
Election Notice – 12/15/20
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Regulatory Notice 20-41
FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Effective Date: November 15, 2021 (ADF and TRFs), November 14, 2022 (ORF)
Information Notice – 12/1/20
2021 Holiday Margin Extensions Schedule
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