Notices

Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Friday, November 03, 2017
Regulatory Notice 17-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
Tuesday, October 31, 2017
Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Wednesday, October 18, 2017
Regulatory Notice 17-33
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Wednesday, October 18, 2017
Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Friday, October 20, 2017
Election Notice – 10/20/17
Notice of SFAB Election and Ballots
Friday, October 20, 2017
Election Notice – 10/20/17
Notice of FINRA District Committee Elections and Ballots
Friday, October 20, 2017
Information Notice – 10/17/17
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Tuesday, October 17, 2017
Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Monday, October 16, 2017
Regulatory Notice 17-31
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Thursday, October 05, 2017
Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Thursday, October 05, 2017
Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Wednesday, October 04, 2017
Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
Friday, September 29, 2017
Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Friday, September 08, 2017
Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Friday, September 08, 2017
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Wednesday, August 30, 2017
Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Monday, August 21, 2017
Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Friday, August 18, 2017
Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Thursday, August 24, 2017
Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Friday, July 21, 2017
Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
Wednesday, July 12, 2017
Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Tuesday, July 11, 2017
Trade Reporting Notice – 6/12/17
Effective Date for Required Use of TRACE for Treasuries Modifiers
Monday, June 12, 2017
Information Notice – 6/9/17
New Rate for Fees Paid Under Section 31 of the Exchange Act
Friday, June 09, 2017
Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
Wednesday, June 07, 2017