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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
Special Notice – 2/27/24
FINRA Encourages Engagement in Advisory Committees
Regulatory Notice 24-05
FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
Effective Date: June 30, 2024
Regulatory Notice 24-04
FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
Operative Date: May 28, 2024
Regulatory Notice 24-03
Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Effective Date: March 4, 2024
Regulatory Notice 24-02
FINRA Adopts FINRA Rule 3110.19 (Residential Supervisory Location) and FINRA Rule 3110.18 (Remote Inspections Pilot Program), and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR
Effective Date of Rule 3110.19 (Residential Supervisory Location): June 1, 2024; Effective Date of Rule 3110.18 (Remote Inspections Pilot Program): July 1, 2024; End of Regulatory Relief Described in Regulatory Notice 20-08: May 31, 2024
Regulatory Notice 24-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Regulatory Notice 23-21
FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
Election Notice – 12/22/2023
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Regulatory Notice 23-20
FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
Information Notice 11/20/23
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Election Notice – 11/15/2023
Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
Voting Ends: December 15, 2023
Regulatory Notice 23-19
FINRA Adopts a Short-Form Membership Application Process for Certain Firms That Must Become FINRA Members due to Amended SEA Rule 15b9-1
Effective Date: October 30, 2023
Information Notice 11/2/23
FINRA Reminds Firms of Continuing Education Firm Element Rule Changes
Information Notice 11/1/23
2024 and First Quarter of 2025 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); Supplemental Inventory Schedule (SIS); and Supplemental Liquidity Schedule (SLS)
Regulatory Notice 23-18
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
Payment Deadline: December 11, 2023
Regulatory Notice 23-17
FINRA Discontinues Collection of INSITE Data From Clearing Firms
Effective Date: November 30, 2023
Election Notice - 10/23/2023
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 22, 2023

This Notice was updated on November 3, 2023, to update the District 4 candidates for Midwest Region Committee.

Election Notice - 10/23/2023
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 22, 2023
Regulatory Notice 23-16
FINRA Adopts TAF Exemption for Proprietary Trading Firms
Effective Date: November 6, 2023
Election Notice - 9/25/2023
FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: November 9, 2023
Election Notice – 9/11/23
Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 11, 2023
Election Notice – 9/11/23
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 11, 2023
Regulatory Notice 23-15
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
Regulatory Notice 23-14
Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Effective Date: May 22, 2024
Regulatory Notice 23-13
FINRA Amends Its Rules to Allow Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
Effective Date: August 23, 2023
Regulatory Notice 23-12
FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
Election Notice - 8/7/2023
Notice of Annual Meeting of FINRA Firms and Election Proxy
Information Notice 7/26/23
FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline
Regulatory Notice 23-11
FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
Regulatory Notice 23-10
FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
Election Notice - 05/31/2023
Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 17, 2023
Regulatory Notice 23-09
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
Regulatory Notice 23-08
FINRA Reminds Members of Their Obligations When Selling Private Placements
Regulatory Notice 23-07
FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm
Effective Date: June 1, 2023
Information Notice - 4/27/23
March 2023 Options Disclosure Document
Special Notice - 4/25/23
2023 Election Process Overview
Special Notice - 3/29/23
FINRA Encourages Engagement in Advisory Committees
Regulatory Notice 23-06
FINRA Shares Effective Practices to Address Risks of Fraudulent Transfers of Accounts Through ACATS
Regulatory Notice 23-05
FINRA Revises the Research Analyst (Series 86/87) Exam Program
Effective Date: May 15, 2023
Information Notice - 3/15/23
FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
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