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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 16-21
SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Effective Date: January 30, 2017
Regulatory Notice 16-20
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Effective Date: August 1, 2016
Regulatory Notice 16-19
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
Regulatory Notice 16-18
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Effective Date: November 11, 2016
Information Notice – 5/16/16
Elimination of Continuing Education Delivery at Testing Centers
Effective: July 1, 2016
Regulatory Notice 16-17
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
Regulatory Notice 16-16
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Effective Date: July 18, 2016
Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Implementation Date: October 3, 2016
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Regulatory Notice 16-11
Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016
Regulatory Notice 16-10
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
Information Notice – 3/15/16
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
Regulatory Notice 16-08
Private Placements and Public Offerings Subject to a Contingency
Regulatory Notice 16-07
FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other than Registration Requirements): May 16, 2016
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
Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues
Information Notice – 1/20/16
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
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
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
Information Notice – 12/22/15
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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
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