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 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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| Regulatory Notice 20-43 | FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Comment Period Expires: February 22, 2021
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| Regulatory Notice 20-42 | FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
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| Election Notice – 12/15/20 | FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
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| Regulatory Notice 20-41 | FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Effective Date: November 15, 2021 (ADF and TRFs), November 14, 2022 (ORF)
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| Information Notice – 12/1/20 | 2021 Holiday Margin Extensions Schedule
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| Regulatory Notice 20-40 | FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name
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| Information Notice – 11/24/20 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Information Notice – 11/23/20 | 2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; 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 20-39 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
Payment Deadline: December 14, 2020
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| Regulatory Notice 20-38 | FINRA Adopts 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
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| Election Notice – 10/20/20 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 19, 2020
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| Election Notice – 10/20/20 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 19, 2020
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| Regulatory Notice 20-37 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Date: Effective Immediately
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| Information Notice - 10/15/20 | Cybersecurity Background: Authentication Methods
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| Regulatory Notice 20-36 | FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Comment Period Expires: November 16, 2020
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| Regulatory Notice 20-35 | FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
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| Regulatory Notice 20-34 | Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
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| Regulatory Notice 20-33 | FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Comment Period Expires: November 23, 2020
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| Regulatory Notice 20-32 | FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud
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| Election Notice – 9/1/20 | Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2020
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| Election Notice – 9/1/20 | Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 1, 2020
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| Regulatory Notice 20-31 | FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
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| Regulatory Notice 20-30 | Fraudsters Using Registered Representatives Names to Establish Imposter Websites
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| Election Notice – 8/17/20 | FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 1, 2020
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| Regulatory Notice 20-29 | FINRA Requests Comment on the Practice of Pennying in the Corporate Bond Market
Comment Period Expires: October 16, 2020
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| Regulatory Notice 20-28 | Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 14, 2020
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| Regulatory Notice 20-27 | FINRA Alerts Firms to Use of Fake FINRA Domain Name
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| Regulatory Notice 20-26 | FINRA Shares Practices Firms Implemented to Prepare for the LIBOR Phase-out
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| Regulatory Notice 20-25 | FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Effective Date: September 14, 2020
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