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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 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
Regulatory Notice 19-21
Margin Requirements for Exchange-Traded Notes
Regulatory Notice 19-20
SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election
Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
Information Notice 5/10/19
Understanding Short Sale Volume Data on FINRA’s Website
Regulatory Notice 19-18
FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
Regulatory Notice 19-17
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
Information Notice – 4/29/19
Imposter Websites Impacting Member Firms
Regulatory Notice 19-16
SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019 [PDF]
Regulatory Notice 19-15
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing [PDF]
Regulatory Notice 19-14
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board [PDF]
Regulatory Notice 19-13
SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts
Effective Date: May 6, 2019 [PDF]
Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
Regulatory Notice 19-11
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Regulatory Notice 19-10
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
Special Notice – 4/3/19
2019 Involvement and Election Process Overview
Information Notice – 4/3/19
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
Regulatory Notice 19-09
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Regulatory Notice 19-08
Guidance on FOCUS Reporting for Operating Leases
Regulatory Notice 19-07
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
Regulatory Notice 19-04
FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
Regulatory Notice 19-03
FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
Trade Reporting Notice – 1/22/19
TRACE Reporting of OTC Transactions in Listed Bonds
Information Notice – 1/17/19
October 2018 Supplement to the Options Disclosure Document
Trade Reporting Notice – 1/9/19
U.S. Treasury Security Auction Awards
Regulatory Notice 19-02
FINRA Updates Supplemental Statement of Income
Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
Regulatory Notice 19-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
Information Notice – 12/21/18
2019 Holiday Margin Extensions Schedule
Election Notice - 12/21/18
FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 18-41
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Effective Date: January 7, 2019
Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Regulatory Notice 18-39
Unexpected Close of Securities Markets
Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
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