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 19-16 | SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019 [PDF]
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| Regulatory Notice 19-15 | FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing [PDF]
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| Regulatory Notice 19-14 | 2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board [PDF]
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| Regulatory Notice 19-13 | SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts
Effective Date: May 6, 2019 [PDF]
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| Request for Comments on Proposed Amendments to Article III, Section 35 of the NASD Rules of Fair Practice | Notice To Members 87-24
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| Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts | Notice To Members 87-23
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| Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions | Notice To Members 87-22
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| Regulatory Notice 19-12 | FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
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| Regulatory Notice 19-11 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 19-10 | FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
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| Special Notice – 4/3/19 | 2019 Involvement and Election Process Overview
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| Information Notice – 4/3/19 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
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| Regulatory Notice 19-09 | FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
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| Regulatory Notice 19-08 | Guidance on FOCUS Reporting for Operating Leases
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| Regulatory Notice 19-07 | FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
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| 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
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| Information Notice – 2/13/19 | FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
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| Regulatory Notice 19-05 | FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
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| Regulatory Notice 19-04 | FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
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| Regulatory Notice 19-03 | FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
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| Trade Reporting Notice – 1/22/19 | TRACE Reporting of OTC Transactions in Listed Bonds
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| Information Notice – 1/17/19 | October 2018 Supplement to the Options Disclosure Document
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| Trade Reporting Notice – 1/9/19 | U.S. Treasury Security Auction Awards
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| 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.
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| Regulatory Notice 19-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
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| Election Notice - 12/21/18 | FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
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| Information Notice – 12/21/18 | 2019 Holiday Margin Extensions Schedule
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| Regulatory Notice 18-42 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| 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
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| 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
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| Information Notice – 12/4/18 | Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
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| Regulatory Notice 18-39 | Unexpected Close of Securities Markets
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| Information Notice – 11/20/18 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| 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)
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| Regulatory Notice 18-38 | Amendments to the SEC's Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
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| Regulatory Notice 18-37 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
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| 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
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| 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
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| Regulatory Notice 18-35 | SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
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| Election Notice – 10/16/18 | Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
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