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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 15-10
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
Information Notice - 1/20/15
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 14, 2015
Regulatory Notice 15-02
SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
Effective Date: April 11, 2016
Regulatory Notice 15-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 16, 2015
Information Notice - 12/30/14
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)
Information Notice – 12/23/14
2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Regulatory Notice 14-54
FINRA Reminds Firms of Extended Hours Trading Disclosures
Election Notice - 12/5/14
FINRA Announces Results of SFAB, NAC and District Committee Elections
Information Notice - 11/25/14
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Regulatory Notice 14-53
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
Regulatory Notice 14-52
FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
Comment Period Expires: January 20, 2015
Regulatory Notice 14-51
Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Comment Period Expires: January 13, 2015

The comment period has been extended to February 20, 2015.

Regulatory Notice 14-50
FINRA Requests Comment on a Proposal to Establish a "Pay-to-Play" Rule
Comment Period Expires: December 15, 2014
Regulatory Notice 14-49
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
Effective Date: December 15, 2014
Regulatory Notice 14-48
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Comment Period Expires: Friday, January 9, 2015*

The comment period has been extended to February 20, 2015.

Regulatory Notice 14-47
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Comment Period Expires: Friday, January 9, 2015*

The comment period has been extended to February 20, 2015.

Regulatory Notice 14-46
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as "Out of Sequence" and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015*

The comment period has been extended to February 20, 2015.

Regulatory Notice 14-45
SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings
Effective Date: September 26, 2014
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Payment Deadline: December 12, 2014
Regulatory Notice 14-43
SEC Approves Supplemental Inventory Schedule
Implementation Date: on or before January 30, 2015
Regulatory Notice 14-42
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
Election Notice - 10/15/14
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 14, 2014
Election Notice - 10/15/14
Notice of SFAB Election and Ballots
Ballots Due: November 14, 2014
Election Notice - 10/15/14
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 14, 2014
Regulatory Notice 14-41
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice - 10/10/14
Continuing Education Planning
Regulatory Notice 14-40
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Regulatory Notice 14-39
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Information Notice 10/7/14
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Regulatory Notice 14-38
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 14-37
FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
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