Notices

Information Notice - 4/24/25
New Rate for Fees Paid Under Section 31 of the Exchange Act
Thursday, April 24, 2025
Regulatory Notice 25-07
FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
Monday, April 14, 2025
Regulatory Notice 25-06
FINRA Requests Comment on Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
Thursday, March 20, 2025
Regulatory Notice 25-05
Outside Activities
Friday, March 14, 2025
Regulatory Notice 25-04
Rule Modernization
Wednesday, March 12, 2025
Regulatory Notice 25-03
2025 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Tuesday, March 04, 2025
Regulatory Notice 25-02
Regulatory Relief
Monday, January 27, 2025
Election Notice - 1/10/2025
Notice of Election and Ballots for FINRA Large Firm and Small Firm NAC Member Seats
Friday, January 10, 2025
Information Notice - 1/3/25
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Friday, January 03, 2025
Regulatory Notice 25-01
Broker-Dealer and Investment Adviser Renewals for 2025
Thursday, January 02, 2025
Election Notice - 12/30/2024
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
Monday, December 30, 2024
Information Notice - 12/24/24
Completion of Prospective CAT Cost Recovery Fee 2024-1
Tuesday, December 24, 2024
Information Notice 12/24/24
Completion of Historical CAT Cost Recovery Assessment 1
Tuesday, December 24, 2024
Regulatory Notice 24-17
FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
Friday, December 20, 2024
Regulatory Notice 24-16
Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
Tuesday, December 17, 2024
ORF Technical Notice
FINRA Updates the OTC Equities High Price Dissemination List
Friday, December 13, 2024
Information Notice 12/2/24
2025 Extensions of Time Filing Schedule
Monday, December 02, 2024
Regulatory Notice 24-15
FINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Customers With a Copy of the Official Record of an Expungement Hearing
Tuesday, November 26, 2024
Information Notice 11/21/24
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Thursday, November 21, 2024
Information Notice 11/5/24
2025 and First Quarter of 2026 Report Filing Due Dates
Tuesday, November 05, 2024
Election Notice - 11/7/2024
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Thursday, November 07, 2024
Regulatory Notice 24-13
Retrospective Rule Review: Day Trading
Tuesday, October 29, 2024
Regulatory Notice 24-12
FINRA Adopts Amendments to Rule 3240
Wednesday, October 23, 2024
Regulatory Notice 24-14
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2025
Thursday, October 31, 2024
Election Notice - 10/18/2024
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Friday, October 18, 2024

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