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 |
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| Regulatory Notice 15-35 | SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
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| 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
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| Election Notice – 10/1/15 | Nomination of a Small Firm NAC Member Candidate
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| Regulatory Notice 15-33 | Guidance on Liquidity Risk Management Practices
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| Regulatory Notice 15-32 | FINRA Filing Requirements and Review of Regulation A Offerings
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| Election Notice – 9/2/15 | FINRA Small Firm Advisory Board Election
Nomination Deadline: October 2, 2015
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| Election Notice – 9/2/15 | Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 2, 2015
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| 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. |
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| 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
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| Regulatory Notice 15-29 | FINRA Revises the Series 4 Examination Program
Implementation Date: September 28, 2015
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| 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 |
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| Regulatory Notice 15-27 | Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
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| 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
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| Regulatory Notice 15-26 | FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
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| Election Notice – 6/30/15 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 15-25 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 15-24 | FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
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| 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
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| Information Notice – 6/19/15 | Distributed Denial of Service (DDoS) Attacks on Member Firms
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| 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
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| 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
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| 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
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| 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
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| 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
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| Regulatory Notice 15-17 | Guidance on Rules Governing Communications With the Public
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| Regulatory Notice 15-16 | FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
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| Regulatory Notice 15-15 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Effective Immediately
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| 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
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| 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
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| Regulatory Notice 15-12 | 2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Election Notice - 4/27/15 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: June 11, 2015
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| Regulatory Notice 15-11 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice - 4/10/15 | Continuing Education Planning
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| Information Notice - 3/31/15 | FINRA Survey to Create the Securities Trader Qualification Examination
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| Regulatory Notice 15-10 | FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
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| Regulatory Notice 15-09 | Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
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| 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. |
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| 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,*
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| 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,*
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| 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
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