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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 21-14
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
Election Notice – 12/15/20
FINRA Announces Regional Committee, SFAC and NAC Election Results and Appointments
Regulatory Notice 20-41
FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
Effective Date: November 15, 2021 (ADF and TRFs), November 14, 2022 (ORF)
Information Notice – 12/1/20
2021 Holiday Margin Extensions Schedule
Regulatory Notice 20-40
FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name
Information Notice – 11/24/20
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice – 11/23/20
2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Regulatory Notice 20-39
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
Payment Deadline: December 14, 2020
Regulatory Notice 20-38
FINRA Adopts 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
Election Notice – 10/20/20
Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 19, 2020
Election Notice – 10/20/20
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 19, 2020
Regulatory Notice 20-37
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Date: Effective Immediately
Information Notice - 10/15/20
Cybersecurity Background: Authentication Methods
Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Comment Period Expires: November 16, 2020
Regulatory Notice 20-35
FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Comment Period Expires: November 23, 2020
Regulatory Notice 20-32
FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud
Election Notice – 9/1/20
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2020
Election Notice – 9/1/20
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: October 1, 2020
Regulatory Notice 20-31
FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Regulatory Notice 20-30
Fraudsters Using Registered Representatives Names to Establish Imposter Websites
Election Notice – 8/17/20
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: October 1, 2020
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