Notices

Regulatory Notice 23-15
Regulatory Extension (REX) System Update
Tuesday, September 05, 2023
Regulatory Notice 23-14
Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Friday, August 18, 2023
Information Notice 11/18/22
2023 Holiday Margin Extensions Schedule
Friday, November 18, 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 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
Tuesday, July 06, 2021
Regulatory Notice 21-15
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
Friday, April 09, 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 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Sunday, March 14, 2021
Regulatory Notice 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 20-22
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 19-21
Margin Requirements for Exchange-Traded Notes
Monday, July 01, 2019
Notice To Members 95-26
Conversion To T+3 Settlement, Reg. T, And SEC Rule 15c3-3(m), And Ex-Dividend Schedule
Saturday, April 01, 1995
Notice To Members 94-89
Fed Amends Regulation T
Tuesday, November 01, 1994
Notice To Members 94-53
SEC Proposes Amendments To Regulation T
Friday, July 01, 1994
Notice To Members 93-23
SEC Approves New NASD Margin Rules
Thursday, April 01, 1993
Notice To Members 86-26
Request for Comments on Proposed Exemption From Free-Riding Interpretation for Conversion of Savings and Loan Associations
Tuesday, April 08, 1986
Notice To Members 85-81
Request for Comments on Proposed Exemption from Free-Riding Interpretation for Conversions of Savings and Loan Associations
Monday, December 02, 1985
Notice To Members 84-57
Federal Reserve Board Acts to Grant Immediate Margin Status To All NASDAQ/NMS Issues
Tuesday, October 23, 1984
Notice To Members 83-31
Adoption of Revised and Simplified Regulation T of the Federal Reserve Board
Thursday, July 07, 1983
Notice To Members 95-68
Fed. Proposes Changes To Reg. T;
Tuesday, August 01, 1995
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Tuesday, February 12, 2019
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Monday, December 03, 2018
Regulatory Notice 18-30
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3
Thursday, September 13, 2018
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Thursday, May 03, 2018
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210
Wednesday, February 14, 2018