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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 18-38
Amendments to the SEC's Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Regulatory Notice 18-37
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
Election Notice – 10/29/18
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: Thursday, December 13, 2018
Regulatory Notice 18-36
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Implementation Date: November 19, 2018
Regulatory Notice 18-35
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
Election Notice – 10/16/18
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Election Notice – 10/16/18
Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
Election Notice – 10/16/18
Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Effective Date: April 1, 2019
Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
Regulatory Notice 18-33
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Effective Date: October 29, 2018
Regulatory Notice 18-32
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
Information Notice – 9/24/18
Presentation Changes and New Functionality in the Central Registration Depository (CRD) System

The Notice was updated on September 28, 2018.

Regulatory Notice 18-31
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Regulatory Notice 18-30
Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3

As a result of current events related to the COVID-19 pandemic and the associated impact on firms’ available resources to implement technology changes, FINRA is delaying the March 30, 2020, effective date for firms to begin submitting the last four digits of a customer’s Social Security or tax identification number and the update for certain validation identifiers and validation criteria to meet Regulation T calls. The new effective date will be May 31, 2020, and the testing cycle will continue to be available until May 15, 2020.

Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comment Period Expires: November 12, 2018
Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
Election Notice - 8/29/18
Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
Election Notice – 8/29/18
Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
Election Notice – 8/13/18
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2018
Regulatory Notice 18-24
Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
Regulatory Notice 18-23
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy
Information Notice – 7/13/18
FINRA Warns Firms of Regulator Impersonators
Regulatory Notice 18-20
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Election Notice – 6/11/18
Notice of Special Meeting of Large Firms and Proxy
Election Notice – 5/25/18
Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 9, 2018
Information Notice – 5/18/18
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
Information Notice - 5/7/18
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
Regulatory Notice 18-19
FINRA Amends Rule 3310 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Regulatory Notice 18-18
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Regulatory Notice 18-17
FINRA Revises the Sanction Guidelines
Effective Date: June 1, 2018
Regulatory Notice 18-16
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
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