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 16-07 | FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
Effective Date of FINRA Rule 4518 Notification Provisions: January 29, 2016; Effective Date for SEC Regulation Crowdfunding (Other than Registration Requirements): May 16, 2016
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| Regulatory Notice 16-06 | SEC Approval of FINRA Funding Portal Rules and Related Forms
Effective Date: January 29, 2016
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| Regulatory Notice 16-05 | SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
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| Trade Reporting Notice – 1/20/16 | OTC Equity Trading and Reporting in the Event of Systems Issues
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| Information Notice – 1/20/16 | New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective Date: February 16, 2016
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| Regulatory Notice 16-04 | SEC Approves Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc
Effective Date: December 20, 2015
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| Regulatory Notice 16-03 | SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
Implementation Date: December 14, 2015
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| Regulatory Notice 16-02 | FINRA Revises the Series 9/10 Examination Program
Implementation Date: March 7, 2016
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| Information Notice – 1/8/16 | Use of FINRA Logo
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| Regulatory Notice 16-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Payment Deadline: January 15, 2016
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| Information Notice – 12/22/15 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
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| Information Notice – 12/22/15 | 2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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| Election Notice – 12/18/15 | FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
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| Information Notice – 12/14/15 | 2016 and First Quarter of 2017 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 15-52 | SEC Staff Provides Insight Into Firms' Obligations When Providing Stock Quote Information to Customers
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| Regulatory Notice 15-51 | Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
Effective Date: February 1, 2016
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| Regulatory Notice 15-50 | SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Effective Date: June 6, 2016
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| Regulatory Notice 15-49 | SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Effective Date: December 12, 2015
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| Regulatory Notice 15-48 | SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Effective Date: April 2, 2016
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| Information Notice – 11/24/15 | FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 15-47 | SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Implementation Date: May 23, 2016
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| Regulatory Notice 15-46 | Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets
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| Regulatory Notice 15-45 | FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Implementation Date: January 4, 2016
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| Regulatory Notice 15-44 | FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Effective Date: November 1, 2017
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| Information Notice – 11/4/15 | CE Online and S101 Personalization
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| Regulatory Notice 15-43 | FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
Effective Date: November 3, 2015
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| Regulatory Notice 15-42 | FINRA to Require Electronic Submission of Subordination Approval Requests
Effective Date: November 30, 2015
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| Regulatory Notice 15-41 | SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Effective Date: November 30, 2015
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| Regulatory Notice 15-40 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Payment Deadline: December 18, 2015
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| Regulatory Notice 15-39 | FINRA Revises the Series 27 and Series 28 Examination Programs
Implementation Date: December 14, 2015
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| Regulatory Notice 15-38 | Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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| Information Notice – 10/23/15 | Continuing Education Planning
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| Regulatory Notice 15-37 | FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
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| Election Notice – 10/14/15 | Notice of SFAB Election and Ballots
Ballot Due Date: November 13, 2015
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| Election Notice – 10/14/15 | Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 13, 2015
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| Regulatory Notice 15-36 | FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
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| Trade Reporting Notice – 10/7/15 | Dissemination of Qualified Contingent Trades Reported to FINRA
Effective Date: November 16, 2015
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| Regulatory Notice 15-35 | SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Effective Date: November 2, 2015
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| Regulatory Notice 15-34 | SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Effective Date: March 30, 2016
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| Election Notice – 10/1/15 | Nomination of a Small Firm NAC Member Candidate
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