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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
Information Notice 10/15/21
2022 Holiday Margin Extensions Schedule
Regulatory Notice 21-36
FINRA Encourages Firms to Consider How to Incorporate the Government-wide Anti-Money Laundering and Countering the Financing of Terrorism Priorities Into Their AML Programs
Regulatory Notice 21-35
FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
Regulatory Notice 21-34
FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
Effective Date: January 1, 2022
Regulatory Notice 21-33
FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
Effective Date: September 28, 2021
Regulatory Notice 21-32
FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
Regulatory Notice 21-31
FINRA Establishes New Supplemental Liquidity Schedule (SLS)
Effective Date: March 1, 2022. The first SLS must be completed as of the end of March 2022 and will be due by May 4, 2022.
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2021
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Regional Committee Election
Nomination Deadline: October 1, 2021
Regulatory Notice 21-30
FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
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

Effective Date of Rule 6439(d)(1)(B): June 3, 2022. Member inter-dealer quotation systems are not required to report to FINRA pursuant to Rule 6439 any of the items of information specified in paragraph (d)(1)(B) because the items specified in paragraph (d)(1)(B)(i) through (xi) are subject to reporting to the Consolidated Audit Trail under Rule 6830.

Election Notice – 8/2/21
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 21-27
FINRA Announces Update of the Interpretations of Financial and Operational Rules
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
Regulatory Notice 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
Special Notice – 6/30/21
FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
Regulatory Notice 21-23
FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
Regulatory Notice 21-22
FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
Regulatory Notice 21-21
FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective Date: September 1, 2021
Regulatory Notice 21-20
FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
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.

Information Notice 6/3/21
Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule
Regulatory Notice 21-18
FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
Regulatory Notice 21-17
FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
Special Notice – 4/28/21
2021 Election Process Overview
Regulatory Notice 21-16
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
Regulatory Notice 21-15
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
Regulatory Notice 21-14
FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
Regulatory Notice 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
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
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
Regulatory Notice 21-10
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Effective Date: May 22, 2021
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
Regulatory Notice 21-08
FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name
Regulatory Notice 21-07
FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
Regulatory Notice 21-06
2021 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Effective Date: Immediate
Information Notice 2/16/21
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 25, 2021
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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