Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

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 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comment Period Expires: November 12, 2018
Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
Election Notice – 8/29/18
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
Election Notice - 8/29/18
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
Election Notice – 8/13/18
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2018
Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
Regulatory Notice 18-23
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy
Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Regulatory Notice 18-20
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Election Notice – 6/11/18
Notice of Special Meeting of Large Firms and Proxy
Election Notice – 5/25/18
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 9, 2018
Information Notice – 5/18/18
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
Information Notice - 5/7/18
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
Regulatory Notice 18-19
FINRA Amends Rule 3310 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Regulatory Notice 18-17
FINRA Revises the Sanction Guidelines
Effective Date: June 1, 2018
Regulatory Notice 18-16
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
Regulatory Notice 18-15
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Regulatory Notice 18-14
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Comment Period Expires: June 25, 2018
Regulatory Notice 18-13
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Comment Period Expires: June 19, 2018
Election Notice – 4/20/18
Special Election to Fill a FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, June 4, 2018
Regulatory Notice 18-12
2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 18-11
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: June 22, 2018.

The comment period has been extended to June 22, 2018.

Regulatory Notice 18-09
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA's Business Continuity/Disaster Recovery Testing
Regulatory Notice 18-08
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Comment Period Expires: April 27, 2018
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210

Note: The implementation date of the margin requirements for Covered Agency Transactions pursuant to SR-FINRA-2015-036 has been extended to March 25, 2019. See Regulatory Notice 18-18 for more information.

Regulatory Notice 18-06
FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
Regulatory Notice 18-05
FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Comment Period Expires: April 9, 2018
Special Notice – 2/1/18
2018 Involvement and Election Process Overview
Regulatory Notice 18-04
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes Effective Date: November 15, 2018
Updates to Requestor and Exchange Codes are Effective Immediately
Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 18-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
4 A B C D E F G H I L M N O P Q R S T U V

4