Notices

Information Notice 10/15/21
2022 Holiday Margin Extensions Schedule
Friday, October 15, 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 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
Wednesday, March 24, 2021
Information Notice – 12/1/20
2021 Holiday Margin Extensions Schedule
Tuesday, December 01, 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
Information Notice – 12/9/19
2020 Holiday Margin Extensions Schedule
Monday, December 09, 2019
Regulatory Notice 19-21
Margin Requirements for Exchange-Traded Notes
Monday, July 01, 2019
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tuesday, February 12, 2019
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Thursday, May 03, 2018
Information Notice - 12/21/17
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Thursday, December 21, 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
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 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 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Monday, January 27, 2014
Regulatory Notice 12-44
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
Friday, October 26, 2012
Regulatory Notice 11-30
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
Monday, June 27, 2011
Regulatory Notice 11-15
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Monday, April 04, 2011
Regulatory Notice 11-16
Treatment of Non-Margin Eligible Equity Securities
Thursday, April 07, 2011
Regulatory Notice 10-45
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Monday, October 04, 2010
Regulatory Notice 10-53
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Tuesday, October 26, 2010
Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
Tuesday, April 06, 2010
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Tuesday, January 05, 2010
Regulatory Notice 09-65
FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
Tuesday, November 17, 2009
Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Monday, August 31, 2009
Regulatory Notice 08-60
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
Tuesday, October 21, 2008