Notices
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
| Publication Date | Title | Description |
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| Regulatory Notice 10-12 | Guidance on FAS 167 for FOCUS Reporting
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| Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Regulatory Notice 10-10 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
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| Regulatory Notice 10-10 | SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
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| Regulatory Notice 10-09 | FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
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| Election Notice - 2/12/10 | Nominees for the District Committees and District Nominating Committees
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| Regulatory Notice 10-08 | Filing Requirements for Members that Carry Customer Margin Accounts
New Customer Margin Balance Form; Effective Date of Rule Requirements: February 8, 2010; Availability of New Form: March 1, 2010
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| Trade Reporting Notice - 2/8/10 | FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
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| Regulatory Notice 10-07 | SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Effective Date: April 12, 2010
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| Regulatory Notice 10-06 | Guidance on Blogs and Social Networking Web Sites
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| Regulatory Notice 10-05 | FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
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| Regulatory Notice 10-04 | SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
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| Regulatory Notice 10-04 | SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
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| 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
Comment Period Expires: March 8, 2010
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| Regulatory Notice 10-02 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
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| Regulatory Notice 10-01 | Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
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| Regulatory Notice 10-01 | Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
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| Information Notice 12/29/09 | December 2009 Supplement to the Options Disclosure Document
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| Information Notice 12/24/09 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 15, 2010
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| Regulatory Notice 09-74 | SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
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| Election Notice - 12/18/09 | FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
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| Regulatory Notice 09-73 | FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
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| Regulatory Notice 09-72 | SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
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| Regulatory Notice 09-72 | SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
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| Information Notice 12/14/09 | 2010 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Election Notice - 12/11/09 | Upcoming District Committee and District Nominating Committee Elections
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| Information Notice 12/09/09 | Certification of Annual Audits
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| Regulatory Notice 09-71 | SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Effective Date: February 8, 2010
Attachment A to this Notice was updated on January 25, 2010, pursuant to SR-FINRA-2010-004. |
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| Regulatory Notice 09-70 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Comment Period Expires: February 1, 2010
The comment period was extended to March 1, 2010. |
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| Regulatory Notice 09-69 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
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| Regulatory Notice 09-69 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
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| Regulatory Notice 09-68 | SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
Effective Date: January 1, 2010
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| Regulatory Notice 09-67 | Regulatory Element Continuing Education Fees to Increase
Effective Date: January 4, 2010
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| Regulatory Notice 09-66 | SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
Effective Date: November 30, 2009
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| 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
New Effective Date: April 30, 2010
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| Regulatory Notice 09-64 | Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
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| Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
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| Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
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| Information Notice 11/09/09 | Changes to the S101 and S106 Regulatory Element Continuing Education Programs
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| Regulatory Notice 09-62 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Payment Deadline: December 11, 2009
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