Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

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 15-32
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
Regulatory Notice 15-22
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Comment Period Expires: August 17, 2015
Regulatory Notice 15-21
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Effective Date: July 6, 2015
Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Comment Period Expires: July 27, 2015
Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Comment Period Expires: July 13, 2015
Regulatory Notice 15-18
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
Effective Date: June 26, 2015
Regulatory Notice 15-17
Guidance on Rules Governing Communications With the Public
Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
Regulatory Notice 15-15
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Effective Immediately
Regulatory Notice 15-14
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
Effective Date: November 2, 2015
Regulatory Notice 15-13
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
Regulatory Notice 15-12
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Election Notice - 4/27/15
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 11, 2015
Regulatory Notice 15-11
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 4/10/15
Continuing Education Planning
Information Notice - 3/31/15
FINRA Survey to Create the Securities Trader Qualification Examination
Regulatory Notice 15-10
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
Regulatory Notice 15-09
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Regulatory Notice 15-08
Changes to Qualification Examination Fees

This Notice was updated on 3/26/15 to clarify the fees charged for examinations sponsored by the MSRB and administered and delivered by FINRA.

Regulatory Notice 15-07
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
Regulatory Notice 15-07
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
Regulatory Notice 15-06
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Comment Period Expires: May 18, 2015
Information Notice - 3/18/15
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 15-05
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Effective Date of FINRA Rule 3110(e): July 1, 2015; Effective Date of FINRA Rule 3110.15: April 24, 2014, to December 1, 2015
Regulatory Notice 15-04
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Comment Period Expires: April 10, 2015
Regulatory Notice 15-03
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Comment Period Expires: April 7, 2015
4 A B C D E F G H I L M N O P Q R S T U V

4