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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 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
Regulatory Notice 15-32
FINRA Filing Requirements and Review of Regulation A Offerings
Election Notice – 9/2/15
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Effective Date: September 25, 2015, or December 24, 2015
Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Implementation Date: September 28, 2015
Regulatory Notice 15-28
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Effective Date: October 1, 2015

Effective Date: October 1, 2015

Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Election Notice – 7/28/15
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 11, 2015
Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Regulatory Notice 15-25
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
Regulatory Notice 15-23
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
Information Notice – 6/19/15
Distributed Denial of Service (DDoS) Attacks on Member Firms
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