Notices

Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Wednesday, January 10, 2018
Regulatory Notice 18-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Monday, January 08, 2018
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
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Wednesday, August 30, 2017
Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Thursday, May 11, 2017
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Friday, April 07, 2017
Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Friday, February 10, 2017
Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Friday, August 12, 2016
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
Wednesday, April 20, 2016
Regulatory Notice 16-11
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Tuesday, April 05, 2016
Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Friday, March 04, 2016
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Tuesday, January 26, 2016
Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
Tuesday, September 15, 2015
Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Thursday, July 30, 2015
Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 29, 2015
Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Friday, June 19, 2015
Regulatory Notice 14-43
SEC Approves Supplemental Inventory Schedule
Thursday, October 23, 2014
Regulatory Notice 14-39
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Wednesday, October 08, 2014
Regulatory Notice 14-38
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, October 06, 2014
Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Monday, February 03, 2014
Regulatory Notice 14-06
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Friday, February 07, 2014
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, March 24, 2014
Regulatory Notice 14-13
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Tuesday, March 25, 2014
Regulatory Notice 14-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Monday, June 23, 2014
Regulatory Notice 13-41
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Thursday, December 19, 2013

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