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 |
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| Regulatory Notice 24-03 | Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Effective Date: March 4, 2024
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| Regulatory Notice 24-02 | FINRA Adopts FINRA Rule 3110.19 (Residential Supervisory Location) and FINRA Rule 3110.18 (Remote Inspections Pilot Program), and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR
Effective Date of Rule 3110.19 (Residential Supervisory Location): June 1, 2024; Effective Date of Rule 3110.18 (Remote Inspections Pilot Program): July 1, 2024; End of Regulatory Relief Described in Regulatory Notice 20-08: May 31, 2024
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| Regulatory Notice 24-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 23-21 | FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
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| Election Notice – 12/22/2023 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Regulatory Notice 23-20 | FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
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| Information Notice 11/20/23 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Election Notice – 11/15/2023 | Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
Voting Ends: December 15, 2023
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| Regulatory Notice 23-19 | FINRA Adopts a Short-Form Membership Application Process for Certain Firms That Must Become FINRA Members due to Amended SEA Rule 15b9-1
Effective Date: October 30, 2023
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| Information Notice 11/2/23 | FINRA Reminds Firms of Continuing Education Firm Element Rule Changes
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| Information Notice 11/1/23 | 2024 and First Quarter of 2025 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); Supplemental Inventory Schedule (SIS); and Supplemental Liquidity Schedule (SLS)
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| Regulatory Notice 23-18 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
Payment Deadline: December 11, 2023
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| Regulatory Notice 23-17 | FINRA Discontinues Collection of INSITE Data From Clearing Firms
Effective Date: November 30, 2023
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| Election Notice - 10/23/2023 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 22, 2023
This Notice was updated on November 3, 2023, to update the District 4 candidates for Midwest Region Committee. |
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| Election Notice - 10/23/2023 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 22, 2023
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| Regulatory Notice 23-16 | FINRA Adopts TAF Exemption for Proprietary Trading Firms
Effective Date: November 6, 2023
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| Election Notice - 9/25/2023 | FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: November 9, 2023
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Regional Committee Elections
Nomination Deadline: October 11, 2023
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| Election Notice – 9/11/23 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 11, 2023
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| Regulatory Notice 23-15 | Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
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| Regulatory Notice 23-14 | Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
Effective Date: May 22, 2024
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| Regulatory Notice 23-13 | FINRA Amends Its Rules to Allow Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
Effective Date: August 23, 2023
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| Regulatory Notice 23-12 | FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
Effective Date: October 16, 2023
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| Election Notice - 8/7/2023 | Notice of Annual Meeting of FINRA Firms and Election Proxy
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| Information Notice 7/26/23 | FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline
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| Regulatory Notice 23-11 | FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
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| Regulatory Notice 23-10 | FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
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| Election Notice - 05/31/2023 | Nominee for Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: Monday, July 17, 2023
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| Regulatory Notice 23-09 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
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| Regulatory Notice 23-08 | FINRA Reminds Members of Their Obligations When Selling Private Placements
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| Regulatory Notice 23-07 | FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm
Effective Date: June 1, 2023
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| Information Notice - 4/27/23 | March 2023 Options Disclosure Document
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| Special Notice - 4/25/23 | 2023 Election Process Overview
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| Special Notice - 3/29/23 | FINRA Encourages Engagement in Advisory Committees
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| Regulatory Notice 23-06 | FINRA Shares Effective Practices to Address Risks of Fraudulent Transfers of Accounts Through ACATS
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| Regulatory Notice 23-05 | FINRA Revises the Research Analyst (Series 86/87) Exam Program
Effective Date: May 15, 2023
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| Information Notice - 3/15/23 | FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
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| Regulatory Notice 23-04 | FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank
SEA Rule 15c3-1 (Net Capital Requirements) and SEA Rule 15c3-3 (Customer Protection – Reserves and Custody of Securities)
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| Regulatory Notice 23-03 | 2023 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Information Notice 2/14/23 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 27, 2023
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