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 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
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| Information Notice – 12/4/18 | Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
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| Regulatory Notice 18-39 | Unexpected Close of Securities Markets
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| Information Notice – 11/20/18 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| 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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| Regulatory Notice 18-38 | Amendments to the SEC's Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
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| Regulatory Notice 18-37 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Payment Deadline: December 17, 2018
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| 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
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| 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
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| Regulatory Notice 18-35 | SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Effective Date: November 19, 2018
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| Election Notice – 10/16/18 | Notice of FINRA Regional Committee Elections and Ballots
Ballot Due Date: November 15, 2018
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| Election Notice – 10/16/18 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
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| Election Notice – 10/16/18 | Notice of SFAC Election and Ballots
Ballot Due Date: November 15, 2018
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| 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
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| Information Notice – 10/02/18 | Administrative Changes to the Continuing Education Regulatory Element Programs
Effective Date: December 8, 2018
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| 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
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| Regulatory Notice 18-32 | FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
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| 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. |
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| Regulatory Notice 18-31 | SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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| 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. |
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| Regulatory Notice 18-29 | FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
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| 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
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| Regulatory Notice 18-27 | Restructured Qualification Examinations and Related Examination Fees
Effective Date: October 1, 2018
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| 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
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| Election Notice – 8/29/18 | Call for Candidates for Upcoming Election to Fill FINRA Regional Committee Vacancies
Nomination Deadline: September 28, 2018
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| Election Notice - 8/29/18 | Call for Candidates in the Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: September 28, 2018
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| Regulatory Notice 18-25 | FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
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| 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
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| Regulatory Notice 18-24 | Update to Security Futures Risk Disclosure Statement and Supplement
Implementation Date: September 5, 2018
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| Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| 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
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| 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
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| Regulatory Notice 18-21 | SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Effective Date: September 17, 2018
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| Election Notice – 7/23/18 | Notice of Annual Meeting of FINRA Firms and Proxy
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| Information Notice – 7/13/18 | FINRA Warns Firms of Regulator Impersonators
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| Regulatory Notice 18-20 | FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
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| Election Notice – 6/11/18 | Notice of Special Meeting of Large Firms and Proxy
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| Election Notice – 5/25/18 | Upcoming FINRA Board of Governors Election
Petitions for Candidacy Due: July 9, 2018
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| Information Notice – 5/18/18 | Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
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