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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 20-22
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
Regulatory Notice 20-21
FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings
Regulatory Notice 20-20
FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
Information Notice – 6/25/20
FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education

New FINRA Gateway U4 filing experience will be available October 31. View more information on the adjusted launch date. 

Regulatory Notice 20-19
FINRA and ISG Announce the Update of Blue Sheet Data Elements and Repositioning of Exchange Code Field
Effective Date: Updates to Requestor and Exchange Codes are Effective Immediately; Reposition Exchange Code Field by November 30, 2020
Regulatory Notice 20-18
FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
Regulatory Notice 20-17
FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Implementation Date: July 18, 2020
Regulatory Notice 20-16
FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
Regulatory Notice 20-15
FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards
Effective Date: September 14, 2020
Regulatory Notice 20-14
Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
Election Notice – 5/8/20
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, June 22, 2020
Regulatory Notice 20-13
FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
Regulatory Notice 20-12
FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA
Regulatory Notice 20-11
FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
Effective Date: June 29, 2020
Information Notice – 4/8/20
Members of the U.S. Subgroup of the Intermarket Surveillance Group (ISG) Announce the Establishment of the Cross-Market Regulation Working Group (CMRWG)
Information Notice – 3/26/20
Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
Regulatory Notice 20-10
FINRA Amends the FINRA Corporate Financing Rule
Implementation date: Implementation Date for Amended Rule 5110(a)(3)(A), (a)(4)(A)(ii) and (a)(4)(A)(iii): March 20, 2020; Implementation Date of All Other Requirements: September 16, 2020
Regulatory Notice 20-09
2020 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice 20-08
Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief
Regulatory Notice 20-07
FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts
Regulatory Notice 20-06
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 20-05
FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Comment Period Expires: June 30, 2020

In response to requests for an extension, the comment period has been extended to June 30, 2020.

Special Notice – 2/14/20
2020 Involvement and Election Process Overview
Information Notice – 2/3/20
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 18, 2020
Regulatory Notice 20-04
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.

In response to requests for an extension, the comment period has been extended to June 30, 2020. 

Information Notice – 1/23/20
Heightened Terror Threat Risk
Regulatory Notice 20-03
Retrospective Rule Review Report
Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
Regulatory Notice 20-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 17, 2020
Election Notice – 12/19/19
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Regulatory Notice 19-37
SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPOs
Effective Date: January 1, 2020
Information Notice – 12/9/19
2020 Holiday Margin Extensions Schedule
Information Notice – 11/26/19
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Regulatory Notice 19-36
FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
Information Notice – 11/11/19
2020 and First Quarter of 2021 Report Filing Due Dates
Regulatory Notice 19-35
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2020
Payment Deadline: December 16, 2019
Election Notice – 10/21/19
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 20, 2019
Election Notice – 10/21/19
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballot Due Date: November 20, 2019
Regulatory Notice 19-34
Annual Compliance Meetings: Retrospective Rule Review Report and Guidance
Information Notice – 10/2/19
Cybersecurity Alert: Cloud-Based Email Account Takeovers
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