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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 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Regulatory Notice 16-04
SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc
Effective Date: December 20, 2015
Regulatory Notice 16-03
SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
Regulatory Notice 16-02
FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
Information Notice – 1/8/16
Use of FINRA Logo
Regulatory Notice 16-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 15, 2016
Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Information Notice – 12/22/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Information Notice – 12/14/15
2016 and First Quarter of 2017 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 15-52
SEC Staff Provides Insight Into Firms' Obligations When Providing Stock Quote Information to Customers
Regulatory Notice 15-51
Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
Effective Date: February 1, 2016
Regulatory Notice 15-50
SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
Regulatory Notice 15-49
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Effective Date: December 12, 2015
Regulatory Notice 15-48
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Effective Date: April 2, 2016
Information Notice – 11/24/15
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Regulatory Notice 15-47
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Implementation Date: May 23, 2016
Regulatory Notice 15-46
Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
Regulatory Notice 15-45
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Implementation Date: January 4, 2016
Regulatory Notice 15-44
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
Information Notice – 11/4/15
CE Online and S101 Personalization
Regulatory Notice 15-43
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Effective Date: November 3, 2015
Regulatory Notice 15-42
FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 2015
Regulatory Notice 15-41
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Effective Date: November 30, 2015
Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015
Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice – 10/23/15
Continuing Education Planning
Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 2015
Election Notice – 10/14/15
Notice of SFAB Election and Ballots
Ballot Due Date: November 13, 2015
Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
Trade Reporting Notice – 10/7/15
Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
Regulatory Notice 15-35
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
Regulatory Notice 15-34
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Effective Date: March 30, 2016
Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Regulatory Notice 15-33
Guidance on Liquidity Risk Management Practices
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