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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 Notices 10-29
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Effective Date: November 1, 2010
Regulatory Notice 10-28
New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
Effective Dates: August 23, 2010 (Phase I); November 8, 2010 (Phase II)
Regulatory Notice 10-27
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Effective Date: July 1, 2010
Regulatory Notice 10-26
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
Effective Date: June 28, 2010
Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Comment Period Expires: July 12, 2010

The comment period was extended to July 30, 2010.

Information Notice - 5/26/10
DTCC to Provide FINRA Access to Participant Position Reports
Election Notice - 5/4/10
Nominees for FINRA Board of Governors
Regulatory Notice 10-24
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
Effective Date: November 1, 2010
Regulatory Notice 10-23
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Effective Date: February 14, 2011

The new effective date for reporting asset-backed securities to TRACE is May 16, 2011. See Regulatory Notice 10-55.

Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
Information Notice - 4/20/10
Change for Scheduling Exam and CE Sessions

This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10.

Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
Effective Date: June 14, 2010
Regulatory Notice 10-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Information Notice 4/15/10
Continuing Education Planning
Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
Regulatory Notice 10-17
Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
Regulatory Notice 10-16
Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
Regulatory Notice 10-15
FINRA Requirements for Subordinations
Availability of New Standard Forms
Election Notice - 3/29/10
FINRA Announces Election Results for District Committees, District Nominating Committees
Information Notice - 3/24/10
New Firm Requirement to Designate a Super Account Administrator
Information Notice - 3/10/10
Information Notice 3/10/10
Effective Date: April 1, 2010
Regulatory Notice 10-14
SEC Approves Access to Historic TRACE Data and Related Fees Effective Date: March 31, 2010
Regulatory Notice 10-13
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
Effective Date: March 25, 2010
Regulatory Notice 10-12
Guidance on FAS 167 for FOCUS Reporting
Regulatory Notice 10-11
Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
Regulatory Notice 10-10
SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
Regulatory Notice 10-10
SEC Approval and Effective Date for New Consolidated FINRA Rules
Effective Date: April 19, 2010
Regulatory Notice 10-09
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Election Notice - 2/12/10
Nominees for the District Committees and District Nominating Committees
Regulatory Notice 10-08
Filing Requirements for Members that Carry Customer Margin Accounts
New Customer Margin Balance Form; Effective Date of Rule Requirements: February 8, 2010; Availability of New Form: March 1, 2010
Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Revised Effective Date: May 3, 2010
Regulatory Notice 10-07
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
Effective Date: April 12, 2010
Regulatory Notice 10-06
Guidance on Blogs and Social Networking Web Sites
Regulatory Notice 10-05
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Regulatory Notice 10-04
SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
Regulatory Notice 10-04
SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions
Effective Date: February 15, 2010
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Comment Period Expires: March 8, 2010
Regulatory Notice 10-02
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
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