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 |
|---|---|---|
| Trade Reporting Notice – 7/19/19 | FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
|
|
| Election Notice – 7/19/19 | Notice of Annual Meeting of FINRA Firms and Proxy
|
|
| Regulatory Notice 19-24 | FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
|
|
| Trade Reporting Notice – 7/16/19 | Trade Reporting Requirements Applicable to Step-Out Submissions
|
|
| Regulatory Notice 19-23 | FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
|
|
| Regulatory Notice 19-22 | FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
|
|
| Regulatory Notice 19-21 | Margin Requirements for Exchange-Traded Notes
|
|
| Regulatory Notice 19-20 | SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Effective Date: July 1, 2019
|
|
| Election Notice – 5/24/19 | Upcoming FINRA Board of Governors Election
|
|
| Regulatory Notice 19-19 | FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
|
|
| Information Notice 5/10/19 | Understanding Short Sale Volume Data on FINRA’s Website
|
|
| Regulatory Notice 19-18 | FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
|
|
| Regulatory Notice 19-17 | FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
|
|
| Information Notice – 4/29/19 | Imposter Websites Impacting Member Firms
|
|
| Regulatory Notice 19-16 | SEC Approves Amendments to FINRA Rule 4570
Effective Date: August 19, 2019 [PDF]
|
|
| Regulatory Notice 19-15 | FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing [PDF]
|
|
| Regulatory Notice 19-14 | 2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board [PDF]
|
|
| Regulatory Notice 19-13 | SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts
Effective Date: May 6, 2019 [PDF]
|
|
| Regulatory Notice 19-12 | FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
|
|
| Regulatory Notice 19-11 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
|
|
| Regulatory Notice 19-10 | FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
|
|
| Special Notice – 4/3/19 | 2019 Involvement and Election Process Overview
|
|
| Information Notice – 4/3/19 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: April 16, 2019
|
|
| Regulatory Notice 19-09 | FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
|
|
| Regulatory Notice 19-08 | Guidance on FOCUS Reporting for Operating Leases
|
|
| Regulatory Notice 19-07 | FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
Effective Immediately
|
|
| Regulatory Notice 19-06 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
|
|
| Information Notice – 2/13/19 | FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
|
|
| Regulatory Notice 19-05 | FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
New Effective Date: March 25, 2020
|
|
| Regulatory Notice 19-04 | FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
|
|
| Regulatory Notice 19-03 | FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
|
|
| Trade Reporting Notice – 1/22/19 | TRACE Reporting of OTC Transactions in Listed Bonds
|
|
| Information Notice – 1/17/19 | October 2018 Supplement to the Options Disclosure Document
|
|
| Trade Reporting Notice – 1/9/19 | U.S. Treasury Security Auction Awards
|
|
| Regulatory Notice 19-02 | FINRA Updates Supplemental Statement of Income
Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
|
|
| Regulatory Notice 19-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 21, 2019
|
|
| Election Notice - 12/21/18 | FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments
|
|
| Information Notice – 12/21/18 | 2019 Holiday Margin Extensions Schedule
|
|
| Regulatory Notice 18-42 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
|
|
| Regulatory Notice 18-41 | Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
|