Notices

Regulatory Notice 22-11
FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds
Tuesday, April 19, 2022
Regulatory Notice 22-08
FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
Tuesday, March 08, 2022
Regulatory Notice 20-21
FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings
Wednesday, July 01, 2020
Regulatory Notice 20-14
Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
Friday, May 15, 2020
Regulatory Notice 19-32
FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017
Thursday, September 26, 2019
Regulatory Notice 19-31
Disclosure Innovations in Advertising and Other Communications with the Public
Thursday, September 19, 2019
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 17-18
Guidance on Social Networking Websites and Business Communications
Tuesday, April 25, 2017
Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Wednesday, April 12, 2017
Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Wednesday, April 12, 2017
Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Friday, February 10, 2017
Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Wednesday, October 26, 2016
Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Monday, October 17, 2016
Regulatory Notice 16-07
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Friday, January 29, 2016
Information Notice – 1/8/16
Use of FINRA Logo
Friday, January 08, 2016
Regulatory Notice 15-50
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Monday, December 07, 2015
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Tuesday, September 08, 2015
Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Wednesday, August 26, 2015
Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
Friday, May 22, 2015
Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Monday, May 18, 2015
Regulatory Notice 15-02
SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
Monday, January 05, 2015
Regulatory Notice 14-35
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Tuesday, September 16, 2014
Regulatory Notice 14-30
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Friday, July 11, 2014
Regulatory Notice 14-10
SEC Approves New Supervision Rules
Wednesday, March 19, 2014

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