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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
Special Notice – 4/3/19
2019 Involvement and Election Process Overview
Information Notice – 4/3/19
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
Regulatory Notice 19-09
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Regulatory Notice 19-07
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
Regulatory Notice 19-04
FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Trade Reporting Notice – 1/22/19
TRACE Reporting of OTC Transactions in Listed Bonds
Information Notice – 1/17/19
October 2018 Supplement to the Options Disclosure Document
Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
Regulatory Notice 19-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
Information Notice – 12/21/18
2019 Holiday Margin Extensions Schedule
Election Notice - 12/21/18
FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Effective Date: January 7, 2019
Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Regulatory Notice 18-38
Amendments to the SEC's Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Regulatory Notice 18-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
Election Notice – 10/29/18
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: Thursday, December 13, 2018
Regulatory Notice 18-36
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Implementation Date: November 19, 2018
Regulatory Notice 18-35
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Election Notice – 10/16/18
Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
Election Notice – 10/16/18
Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Effective Date: April 1, 2019
Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
Regulatory Notice 18-33
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
Regulatory Notice 18-32
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

The Notice was updated on September 28, 2018.

Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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

FINRA is further delaying the effective date for firms to begin submitting the last four digits of a customer’s Social Security or tax identification number instead of the complete numbers when requesting extensions of time under Rule 4230(a), and the update for certain validation identifiers and validation criteria to meet Regulation T calls. The second testing cycle, which began on December 10, 2018, will also be suspended until further notice. FINRA will provide the new implementation date as soon as it is available and will allow for sufficient time to test.

Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
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