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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| Information Notice - 5/7/18 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: May 22, 2018
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| Regulatory Notice 18-19 | FINRA Amends Rule 3310 to Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
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| Regulatory Notice 18-18 | FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
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| Regulatory Notice 18-17 | FINRA Revises the Sanction Guidelines
Effective Date: June 1, 2018
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| Regulatory Notice 18-16 | FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
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| Regulatory Notice 18-15 | Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
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| Regulatory Notice 18-14 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Comment Period Expires: June 25, 2018
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| Regulatory Notice 18-13 | FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Comment Period Expires: June 19, 2018
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| Election Notice – 4/20/18 | Special Election to Fill a FINRA Large Firm Governor Vacancy
Petitions for Candidacy Due: Monday, June 4, 2018
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| Regulatory Notice 18-12 | 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 18-11 | FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
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| Regulatory Notice 18-10 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: June 22, 2018.
The comment period has been extended to June 22, 2018. |
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| Regulatory Notice 18-09 | FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA's Business Continuity/Disaster Recovery Testing
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| Regulatory Notice 18-08 | FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Comment Period Expires: April 27, 2018
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| Regulatory Notice 18-07 | Extension of Time Requests Relating to FINRA Rule 4210
Note: The implementation date of the margin requirements for Covered Agency Transactions pursuant to SR-FINRA-2015-036 has been extended to March 25, 2019. See Regulatory Notice 18-18 for more information. |
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| Regulatory Notice 18-06 | FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
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| Regulatory Notice 18-05 | FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Comment Period Expires: April 9, 2018
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| Special Notice – 2/1/18 | 2018 Involvement and Election Process Overview
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| Regulatory Notice 18-04 | FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes Effective Date: November 15, 2018
Updates to Requestor and Exchange Codes are Effective Immediately
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| Regulatory Notice 18-03 | FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 18-02 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
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| Regulatory Notice 18-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 22, 2018
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| Information Notice - 12/21/17 | 2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Note: The implementation date of the margin requirements for Covered Agency Transactions pursuant to SR-FINRA-2015-036 has been extended to March 25, 2019. See Regulatory Notice 18-18 for more information. |
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| Election Notice – 12/15/17 | FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
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| Regulatory Notice 17-43 | Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
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| Regulatory Notice 17-42 | FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018
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| Information Notice – 11/30/17 | 2018 and First Quarter of 2019 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 17-41 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Comment Period Expires: January 29, 2018
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| Regulatory Notice 17-40 | FINRA Provides Guidance to Firms Regarding Anti-Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN's Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions Effective Date: *
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| Information Notice – 11/21/17 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 17-39 | SEC Approves the CAT Fee Dispute Resolution Process Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)
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| Regulatory Notice 17-38 | FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria Comment Period Expires: January 12, 2018
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| Regulatory Notice 17-37 | SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs) Effective Date: December 6, 2017
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| Regulatory Notice 17-36 | SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File Effective Date: February 1, 2018
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| Regulatory Notice 17-35 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 Payment Deadline: December 18, 2017
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| Election Notice – 10/20/17 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 20, 2017
The District 1 Small Firm seat is no longer contested. Ballots will not be distributed. |
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| Election Notice – 10/20/17 | Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Ballots Due: November 20, 2017
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| Election Notice – 10/20/17 | Notice of SFAB Election and Ballots
Ballot Due Date: November 20, 2017
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| Regulatory Notice 17-34 | FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
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| Regulatory Notice 17-33 | Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
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