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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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2021
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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Regional Committee Election
Nomination Deadline: October 1, 2021
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| Regulatory Notice 21-30 | FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
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| Regulatory Notice 21-29 | FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
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| Regulatory Notice 21-28 | FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
Effective Date of Rule 6439 (except paragraph (d)(1)(B)): October 1, 2021
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| Election Notice – 8/2/21 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Regulatory Notice 21-27 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 21-26 | FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements
Implementation Date: October 1, 2021
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| Regulatory Notice 21-25 | FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
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| Regulatory Notice 21-24 | FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
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| Special Notice – 6/30/21 | FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
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| Regulatory Notice 21-23 | FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
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| Regulatory Notice 21-22 | FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
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| Regulatory Notice 21-21 | FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective Date: September 1, 2021
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| Regulatory Notice 21-20 | FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
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| Election Notice – 6/4/21 | Nominees for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 19, 2021
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| Regulatory Notice 21-19 | FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021
FINRA has extended the comment period to September 30, 2021. |
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| Information Notice 6/3/21 | Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule
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| Regulatory Notice 21-18 | FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
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| Regulatory Notice 21-17 | FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
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| Special Notice – 4/28/21 | 2021 Election Process Overview
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| Regulatory Notice 21-16 | FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
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| Regulatory Notice 21-15 | FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
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| Special Notice – 3/26/21 | 2021 Advisory Committee Overview and Engagement Notice
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| Regulatory Notice 21-14 | FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
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| Regulatory Notice 21-13 | FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
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| Regulatory Notice 21-12 | FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
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| Regulatory Notice 21-11 | FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
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| Regulatory Notice 21-10 | FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Effective Date: May 22, 2021
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| Regulatory Notice 21-09 | FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
Effective Dates: Amendments to the FINRA Rule 9200 Series, FINRA Rule 9300 Series, and FINRA Rule 9556: April 15, 2021; Amendments to FINRA Rule 8312: May 1, 2021; Amendments to the FINRA Rule 9520 Series and Funding Portal Rule 900: June 1, 2021; Amendments to the FINRA Rule 1000 Series and the Capital Acquisition Broker Rule 100 Series: September 1, 2021
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| Regulatory Notice 21-08 | FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name
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| Regulatory Notice 21-07 | FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
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| Regulatory Notice 21-06 | 2021 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 21-05 | SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Effective Date: Immediate
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| Information Notice 2/16/21 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 25, 2021
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| Regulatory Notice 21-04 | FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
Effective Date: April 19, 2021
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| Regulatory Notice 21-03 | FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
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| Information Notice – 2/3/21 | Exercise Cut-Off Time for Expiring Options
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| Regulatory Notice 21-02 | FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions
Effective Date: May 17, 2021
FINRA has revised the effective date of this Notice to July 26, 2021. |
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| Regulatory Notice 21-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2021
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