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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 16-43
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.

Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Effective Date: September 12, 2016
Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016.
Regulatory Notice 16-31
(Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
Regulatory Notice 16-29
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
Regulatory Notice 16-28
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Implementation Date: November 7, 2016
Regulatory Notice 16-27
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Effective Date: August 11, 2016
Regulatory Notice 16-26
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Effective date: August 22, 2016
Regulatory Notice 16-25
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Regulatory Notice 16-24
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
Regulatory Notice 16-23
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
Effective Date: August 15, 2016; Phase 1 Implementation Date*
Regulatory Notice 16-22
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
Regulatory Notice 16-22
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Effective Date: April 3, 2017
Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: August 5, 2016
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
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