Notices

Information Notice - 11/11/22
2023 and First Quarter of 2024 Report Filing Due Dates
Friday, November 11, 2022
Regulatory Notice 22-03
FINRA Adopts Amendments to Clarify the Application of FINRA Rules to Security-Based Swaps
Thursday, January 20, 2022
Regulatory Notice 21-45
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Tuesday, December 28, 2021
Regulatory Notice 21-31
FINRA Establishes New Supplemental Liquidity Schedule (SLS)
Friday, September 03, 2021
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
Friday, August 13, 2021
Regulatory Notice 21-27
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Thursday, July 22, 2021
Regulatory Notice 21-25
FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Thursday, July 08, 2021
Regulatory Notice 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
Tuesday, July 06, 2021
Regulatory Notice 21-19
FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Friday, June 04, 2021
Regulatory Notice 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
Wednesday, March 24, 2021
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
Thursday, March 18, 2021
Regulatory Notice 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Sunday, March 14, 2021
Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Thursday, February 18, 2021
Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Thursday, October 15, 2020
Regulatory Notice 20-23
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Thursday, July 09, 2020
Regulatory Notice 20-22
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
Thursday, July 02, 2020
Regulatory Notice 20-08
Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
Monday, March 09, 2020
Regulatory Notice 20-06
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Tuesday, February 25, 2020
Regulatory Notice 19-24
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Thursday, July 18, 2019
Regulatory Notice 19-11
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Tuesday, April 09, 2019
Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Tuesday, March 19, 2019
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tuesday, February 12, 2019
Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Tuesday, January 08, 2019
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Tuesday, December 18, 2018
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Monday, December 03, 2018