Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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 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
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
Regulatory Notice 20-40
FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name
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
4 5 A B C D E F G H I L M N O P Q R S T U V W

4