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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 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 Anti-Money 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
Regulatory Notice 17-39
SEC Approves the CAT Fee Dispute Resolution Process Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria Comment Period Expires: January 12, 2018
Regulatory Notice 17-37
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) Effective Date: December 6, 2017
Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File Effective Date: February 1, 2018
Regulatory Notice 17-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017
Election Notice – 10/20/17
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017

The District 1 Small Firm seat is no longer contested. Ballots will not be distributed.

Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
Election Notice – 10/20/17
Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
Regulatory Notice 17-33
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
Information Notice – 10/17/17
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 17-32
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products Effective Date: October 16, 2017
Regulatory Notice 17-31
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format Implementation Date: October 5, 2017
Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements Effective Date: October 1, 2018
Regulatory Notice 17-29
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator Effective Date: October 9, 2017
Regulatory Notice 17-28
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions: New Effective Date: June 25, 2018
Election Notice – 9/8/17
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: Monday, October 9, 2017
Election Notice – 9/8/17
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 9, 2017
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey

FINRA is extending the regulatory relief included in this Notice to firms affected by Hurricanes Irma and Maria.

Regulatory Notice 17-26
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Election Notice – 8/21/17
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 5, 2017
Regulatory Notice 17-25
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
Effective Date: September 18, 2017
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