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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 21-30
FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
Regulatory Notice 21-29
FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
Regulatory Notice 21-28
FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
Effective Date of Rule 6439 (except paragraph (d)(1)(B)): October 1, 2021

Effective Date of Rule 6439(d)(1)(B): June 3, 2022. Member inter-dealer quotation systems are not required to report to FINRA pursuant to Rule 6439 any of the items of information specified in paragraph (d)(1)(B) because the items specified in paragraph (d)(1)(B)(i) through (xi) are subject to reporting to the Consolidated Audit Trail under Rule 6830.

Election Notice – 8/2/21
Notice of Annual Meeting of FINRA Firms and Election Proxy
Regulatory Notice 21-27
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 21-26
FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements
Implementation Date: October 1, 2021
Regulatory Notice 21-25
FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Regulatory Notice 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
Special Notice – 6/30/21
FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
Regulatory Notice 21-23
FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
Regulatory Notice 21-22
FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
Regulatory Notice 21-21
FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective Date: September 1, 2021
Regulatory Notice 21-20
FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
Election Notice – 6/4/21
Nominees for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 19, 2021
Regulatory Notice 21-19
FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021

FINRA has extended the comment period to September 30, 2021.

Information Notice 6/3/21
Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule
Regulatory Notice 21-18
FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts
Regulatory Notice 21-17
FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
Special Notice – 4/28/21
2021 Election Process Overview
Regulatory Notice 21-16
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
Regulatory Notice 21-15
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
Special Notice – 3/26/21
2021 Advisory Committee Overview and Engagement Notice
Regulatory Notice 21-14
FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” Abuse
Regulatory Notice 21-13
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule for Day Trading
Regulatory Notice 21-12
FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
Regulatory Notice 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
Regulatory Notice 21-10
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Effective Date: May 22, 2021
Regulatory Notice 21-09
FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
Effective Dates: Amendments to the FINRA Rule 9200 Series, FINRA Rule 9300 Series, and FINRA Rule 9556: April 15, 2021; Amendments to FINRA Rule 8312: May 1, 2021; Amendments to the FINRA Rule 9520 Series and Funding Portal Rule 900: June 1, 2021; Amendments to the FINRA Rule 1000 Series and the Capital Acquisition Broker Rule 100 Series: September 1, 2021
Regulatory Notice 21-08
FINRA Alerts Firms to Phishing Email Using “finra-online.com” Domain Name
Regulatory Notice 21-07
FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
Regulatory Notice 21-06
2021 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Effective Date: Immediate
Information Notice 2/16/21
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 25, 2021
Regulatory Notice 21-04
FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
Effective Date: April 19, 2021
Regulatory Notice 21-03
FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
Information Notice – 2/3/21
Exercise Cut-Off Time for Expiring Options
Regulatory Notice 21-02
FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions
Effective Date: May 17, 2021

FINRA has revised the effective date of this Notice to July 26, 2021. 

Regulatory Notice 21-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2021
Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Comment Period Expires: February 22, 2021
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
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