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 22-19 | Enhancement to ACATS “Receiver Delete” Functionality for Alternative Investments
FINRA Reminds Members of Their Obligations Under FINRA Rule 11870
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| Regulatory Notice 22-18 | FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
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| Regulatory Notice 22-17 | FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Comment Period Expires: October 3, 2022
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| Regulatory Notice 22-16 | FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Effective Date: August 22, 2022
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| Election Notice – 7/20/22 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 22-15 | FINRA Amends the Code of Arbitration Procedure for Industry Disputes to Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Effective Date: Immediate
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| Regulatory Notice 22-14 | FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Comment Period Expires: September 20, 2022
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| Regulatory Notice 22-13 | Exemption From Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: October 3, 2022
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| Election Notice - 06/09/22 | FINRA Board Large Firm Governor Election
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| Regulatory Notice 22-12 | FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification of Portfolio Trades
Effective Date: May 15, 2023
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| Election Notice – 05/16/22 | Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Thursday, June 30, 2022
Due to a change in firm affiliations, the Large Firm Governor nominee listed in this Election Notice no longer qualifies for re-election. A special election for the Large Firm Governor seat will take place in the near future. The Small Firm Governor Election is not impacted and will proceed as announced in this Notice. |
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| Information Notice – 05/06/22 | March 2022 Options Disclosure Document
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| Special Notice – 4/22/22 | 2022 Election Process Overview
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| Information Notice - 4/21/22 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 14, 2022
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| Information Notice 4/19/22 | FINRA Membership Application Program Transformation
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| Regulatory Notice 22-11 | FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds
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| Special Notice – 3/31/22 | FINRA Encourages Engagement in Advisory Committees
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| Regulatory Notice 22-10 | FINRA Reminds Member Firms of the Scope of FINRA Rule 3110 as it Pertains to the Potential Liability of Chief Compliance Officers for Failure to Discharge Designated Supervisory Responsibilities
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| Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
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| 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
Comment Period: May 9, 2022
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| Regulatory Notice 22-07 | GASB Accounting Support Fee
2022 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 22-06 | U.S. Imposes Sanctions on Russian Entities and Individuals
FINRA Alerts Firms to Sanctions
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| Regulatory Notice 22-05 | FINRA Adopts Amendments to FINRA Rule 2165
Effective Date: March 17, 2022
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| Information Notice 2/1/22 | FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
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| Regulatory Notice 22-04 | FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly
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| Regulatory Notice 22-03 | FINRA Adopts Amendments to Clarify the Application of FINRA Rules to Security-Based Swaps
Effective Dates: February 6, 2022 (Rules 0180, 4120 and 9610) and April 6, 2022 (Rules 4210, 4220 and 4240)
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| Regulatory Notice 22-02 | FINRA Amends Rule 2251 Regarding Reimbursement Rates for Processing and Forwarding Proxy and Other Issuer-Related Materials
Effective Date: Immediate
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| Regulatory Notice 22-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 21-45 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 21-44 | Business Continuity Planning and Lessons From the COVID-19 Pandemic
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| Regulatory Notice 21-43 | Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 2022
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| Election Notice – 12/15/21 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Regulatory Notice 21-42 | FINRA Alerts Firms to “Log4Shell” Vulnerability in Apache Log4j Software
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| Information Notice 11/23/21 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 21-41 | FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
Effective Dates: March 15, 2022 (MQP (paragraph (c) of Rule 1240) and FSAWP (Rule 1210.09)); January 1, 2023 (all other rule changes)
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| Information Notice 11/12/21 | 2022 and First Quarter of 2023 Report Filing Due Dates
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| Regulatory Notice 21-40 | FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
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| Regulatory Notice 21-39 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022
Payment Deadline: Dec. 13, 2021
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| Regulatory Notice 21-38 | FINRA Announces Closure of the OTC Bulletin Board
Effective Date: November 8, 2021
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| Regulatory Notice 21-37 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Immediately
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