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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 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
Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
Information Notice 12/29/09
December 2009 Supplement to the Options Disclosure Document
Information Notice 12/24/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: January 15, 2010
Regulatory Notice 09-74
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
Election Notice - 12/18/09
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
Regulatory Notice 09-73
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
Regulatory Notice 09-72
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
Regulatory Notice 09-72
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
Information Notice 12/14/09
2010 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Election Notice - 12/11/09
Upcoming District Committee and District Nominating Committee Elections
Information Notice 12/09/09
Certification of Annual Audits
Regulatory Notice 09-71
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Effective Date: February 8, 2010

Attachment A to this Notice was updated on January 25, 2010, pursuant to SR-FINRA-2010-004.

Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Comment Period Expires: February 1, 2010

The comment period was extended to March 1, 2010.

Regulatory Notice 09-69
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
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