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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
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
Regulatory Notice 18-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2018
Information Notice - 12/21/17
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

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.

Election Notice – 12/15/17
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
Regulatory Notice 17-43
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Regulatory Notice 17-42
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018
Information Notice – 11/30/17
2018 and First Quarter of 2019 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Regulatory Notice 17-41
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Comment Period Expires: January 29, 2018
Regulatory Notice 17-40
FINRA Provides Guidance to Firms Regarding AntiMoney Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN's Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions Effective Date: *
Information Notice – 11/21/17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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