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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
Regulatory Notice 20-04
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.

In response to requests for an extension, the comment period has been extended to June 30, 2020. 

Information Notice – 1/23/20
Heightened Terror Threat Risk
Regulatory Notice 20-03
Retrospective Rule Review Report
Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
Regulatory Notice 20-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 17, 2020
Election Notice – 12/19/19
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Regulatory Notice 19-37
SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Effective Date: January 1, 2020
Information Notice – 12/9/19
2020 Holiday Margin Extensions Schedule
Information Notice – 11/26/19
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Regulatory Notice 19-36
FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
Information Notice – 11/11/19
2020 and First Quarter of 2021 Report Filing Due Dates
Regulatory Notice 19-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2020
Payment Deadline: December 16, 2019
Election Notice – 10/21/19
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 20, 2019
Election Notice – 10/21/19
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballot Due Date: November 20, 2019
Regulatory Notice 19-34
Annual Compliance Meetings: Retrospective Rule Review Report and Guidance
Information Notice – 10/2/19
Cybersecurity Alert: Cloud-Based Email Account Takeovers
Regulatory Notice 19-33
FINRA and ISG Announce the Update of Blue Sheet Data Elements
Effective Date: Immediately Effective
Regulatory Notice 19-32
FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017
Implementation Date: August 16, 2019
Regulatory Notice 19-31
Disclosure Innovations in Advertising and Other Communications with the Public
Regulatory Notice 19-30
SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
Effective date: August 3, 2020

FINRA has revised the effective date for this Notice to August 3, 2020.

Regulatory Notice 19-29
SEC Approves Amendments to Expand Published Data Relating to OTC Equity Trading Volume
Effective Date: December 2, 2019
Election Notice – 9/4/19
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 4, 2019
Election Notice – 9/4/19
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 4, 2019
Election Notice – 8/20/19
FINRA Announces Nomination Process to Fill Upcoming Firm Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 4, 2019
Regulatory Notice 19-28
Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
Regulatory Notice 19-26
Regulation Best Interest
SEC Adopts Best Interest Standard of Conduct
Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
Election Notice – 7/19/19
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 19-24
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions
Regulatory Notice 19-23
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
Regulatory Notice 19-21
Margin Requirements for Exchange-Traded Notes
Regulatory Notice 19-20
SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election
Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
Information Notice 5/10/19
Understanding Short Sale Volume Data on FINRA’s Website
Regulatory Notice 19-18
FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
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