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 10-47 | SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Effective Date: February 8, 2011
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| Information Notice - 10/8/10 | Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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| Regulatory Notice 10-46 | Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
Effective Date: FOCUS Report Due on November 23, 2010, Covering the October 2010 Reporting Period
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| Regulatory Notice 10-45 | SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Effective Date: December 2, 2010
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| Regulatory Notice 10-44 | New Alert-Reporting Criterion for Leverage in FOCUS Reports
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| Regulatory Notice 10-43 | Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
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| Regulatory Notice 10-42 | SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
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| Regulatory Notice 10-41 | FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
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| Trade Reporting Notice - 9/17/10 | Price Validation and Price-Override Protocol
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| Regulatory Notice 10-40 | Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying
Effective Date: October 14, 2010
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| Regulatory Notice 10-39 | Obligation to Provide Timely, Complete and Accurate Information on Form U5
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| Information Notice - 9/7/10 | August 2010 Supplement to the Security Futures Risk Disclosure Statement
Effective Date: October 7, 2010
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| Election Notice - 9/3/10 | FINRA Small Firm Advisory Board Election
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| Regulatory Notice 10-38 | SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Effective Date: September 27, 2010
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| Regulatory Notice 10-37 | Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Effective Date: September 27, 2010
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| Regulatory Notice 10-36 | Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
Effective Date: September 7, 2010
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| Trade Reporting Notice - 8/19/10 | Weighted-Average Price/Special Pricing Formula Trade Modifier
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| Regulatory Notice 10-35 | SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: October 15, 2010
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| Regulatory Notice 10-35 | SEC Approval and Effective Date for New Consolidated FINRA Rule
Effective Date: October 15, 2010
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| Information Notice - 8/3/10 | FINRA Reminds Firms of Upcoming Changes to BrokerCheck
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| Election Notice - 7/30/10 | FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
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| Regulatory Notice 10-34 | SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
This Notice was updated to renumber the footnotes. |
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| Regulatory Notice 10-33 | FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Comment Period Expires: August 18, 2010
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| Election Notice - 7/12/10 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Regulatory Notice 10-32 | SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Effective Date: August 2, 2010
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| Regulatory Notice 10-31 | Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement
Effective Date: July 2, 2010
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| Regulatory Notice 10-30 | SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
Effective Date: June 10, 2010
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| Information Notice 6/15/10 | May 2010 Supplement to the Options Disclosure Document
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| Regulatory Notices 10-29 | SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
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| Regulatory Notice 10-28 | New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Effective Dates: August 23, 2010 (Phase I); November 8, 2010 (Phase II)
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| Regulatory Notice 10-27 | Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Effective Date: July 1, 2010
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| Regulatory Notice 10-26 | SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
Effective Date: June 28, 2010
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| Regulatory Notice 10-25 | FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Comment Period Expires: July 12, 2010
The comment period was extended to July 30, 2010. |
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| Information Notice - 5/26/10 | DTCC to Provide FINRA Access to Participant Position Reports
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| Election Notice - 5/4/10 | Nominees for FINRA Board of Governors
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| Regulatory Notice 10-24 | SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Effective Date: November 1, 2010
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| Regulatory Notice 10-23 | SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Effective Date: February 14, 2011
The new effective date for reporting asset-backed securities to TRACE is May 16, 2011. See Regulatory Notice 10-55. |
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| Regulatory Notice 10-22 | Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
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| Information Notice - 4/20/10 | Change for Scheduling Exam and CE Sessions
This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10. |
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| Regulatory Notice 10-21 | SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Effective Date: June 14, 2010
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