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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 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Effective Date: September 5, 2017
Election Notice – 5/2/17
Notice of Special Meeting of Large Firms and Proxy
Regulatory Notice 17-18
Guidance on Social Networking Websites and Business Communications
Regulatory Notice 17-17
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017*

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017*

In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text.

Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017*

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Regulatory Notice 17-13
FINRA's NAC Revises the Sanction Guidelines
Effective Immediately
Regulatory Notice 17-12
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Regulatory Notice 17-10
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Regulatory Notice 17-09
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Effective Date: March 15, 2017
Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, April 24, 2017
Regulatory Notice 17-08
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
Effective Date: May 14, 2018
Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
Regulatory Notice 17-05
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
Effective Date: February 6, 2017
Election Notice – 1/24/17
2017 Annual FINRA Election Cycle and Procedures Overview
Regulatory Notice 17-04
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Effective Date: January 9, 2017
Regulatory Notice 17-03
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Effective Date: April 3, 2017
Regulatory Notice 17-02
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
Effective Date: January 23, 2017
Regulatory Notice 17-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 20, 2017
Election Notice – 12/20/16
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Information Notice – 12/14/16
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice – 12/5/16
2017 and First Quarter of 2018 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)

The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524.  These due dates take into account the federal holiday calendar as appropriate.

Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Regulatory Notice 16-44
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Effective Date: February 27, 2017
Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Payment Deadline: December 16, 2016
Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Effective Date: January 9, 2017
Regulatory Notice 16-40
SEC Approves FINRA "Pay-To-Play" and Related Rules
Effective Date: August 20, 2017
Regulatory Notice 16-39
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Reporting Implementation Date: July 10, 2017
Election Notice – 10/19/16
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
Regulatory Notice 16-38
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Effective Date: March 20, 2017
Regulatory Notice 16-37
SEC Approves FINRA's Capital Acquisition Broker (CAB) Rules
Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016.

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