Notices

"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets

Effective Date: October 24, 2016

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

FINRA Small Firm Advisory Board Election

Nomination Deadline: October 7, 2016

Upcoming Election to Fill FINRA District Committee Vacancies

Nomination Deadline: October 7, 2016

FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities

Comment Period Expires: November 29, 2016

Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan

Effective Date: October 3, 2016

FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only

Effective Date: September 12, 2016

FINRA Announces New Web-based System for the Collection of Short Interest Positions

Effective Date: January 10, 2017

Notice of Annual Meeting of FINRA Firms and Proxy

(Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions

Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

Petitions for Candidacy Due: September 26, 2016

FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities

FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules

Comment Period Expires: September 23, 2016

SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)

Implementation Date: November 7, 2016

FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council

Effective Date: August 11, 2016

FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility

Effective date: August 22, 2016

Forum Selection Provisions Involving Customers, Associated Persons and Member Firms

FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements

SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities

Effective Date: August 15, 2016; Phase 1 Implementation Date*

SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

Effective Date: April 3, 2017

SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

Effective Date: April 3, 2017

Upcoming FINRA Board of Governors Election

Petitions for Candidacy Due: August 5, 2016

SEC Approves Rule to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies

Effective Date: January 30, 2017

SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers

Effective Date: August 1, 2016

FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions

SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative

Effective Date: November 11, 2016

Elimination of Continuing Education Delivery at Testing Centers

Effective: July 1, 2016

FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions

2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems

Effective Date: July 18, 2016

FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data

Implementation Date: October 3, 2016

Revised SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities

FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products

Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items

Implementation Date: The supplemental schedule disclosing off-balance sheet information as of June 30, 2016, must be filed with FINRA on or before August 2, 2016

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

Annual FINRA Election Cycle and Procedures Overview

FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2

Comment Period Expires: April 4, 2016

Private Placements and Public Offerings Subject to a Contingency