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 4/19/22 | FINRA Membership Application Program Transformation
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| Regulatory Notice 22-11 | FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds
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| Special Notice – 3/31/22 | FINRA Encourages Engagement in Advisory Committees
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| Regulatory Notice 22-10 | FINRA Reminds Member Firms of the Scope of FINRA Rule 3110 as it Pertains to the Potential Liability of Chief Compliance Officers for Failure to Discharge Designated Supervisory Responsibilities
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| Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
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| Regulatory Notice 22-08 | FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
Comment Period: May 9, 2022
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| Regulatory Notice 22-07 | GASB Accounting Support Fee
2022 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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| Regulatory Notice 22-06 | U.S. Imposes Sanctions on Russian Entities and Individuals
FINRA Alerts Firms to Sanctions
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| Regulatory Notice 22-05 | FINRA Adopts Amendments to FINRA Rule 2165
Effective Date: March 17, 2022
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| Information Notice 2/1/22 | FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
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| Regulatory Notice 22-04 | FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly
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| Regulatory Notice 22-03 | FINRA Adopts Amendments to Clarify the Application of FINRA Rules to Security-Based Swaps
Effective Dates: February 6, 2022 (Rules 0180, 4120 and 9610) and April 6, 2022 (Rules 4210, 4220 and 4240)
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| Regulatory Notice 22-02 | FINRA Amends Rule 2251 Regarding Reimbursement Rates for Processing and Forwarding Proxy and Other Issuer-Related Materials
Effective Date: Immediate
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| Regulatory Notice 22-01 | Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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| Regulatory Notice 21-45 | FINRA Announces Update of the Interpretations of Financial and Operational Rules
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| Regulatory Notice 21-44 | Business Continuity Planning and Lessons From the COVID-19 Pandemic
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| Regulatory Notice 21-43 | Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 2022
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| Election Notice – 12/15/21 | FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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| Regulatory Notice 21-42 | FINRA Alerts Firms to “Log4Shell” Vulnerability in Apache Log4j Software
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| Information Notice 11/23/21 | FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
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| Regulatory Notice 21-41 | FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
Effective Dates: March 15, 2022 (MQP (paragraph (c) of Rule 1240) and FSAWP (Rule 1210.09)); January 1, 2023 (all other rule changes)
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| Information Notice 11/12/21 | 2022 and First Quarter of 2023 Report Filing Due Dates
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| Regulatory Notice 21-40 | FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
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| Regulatory Notice 21-39 | Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2022
Payment Deadline: Dec. 13, 2021
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| Regulatory Notice 21-38 | FINRA Announces Closure of the OTC Bulletin Board
Effective Date: November 8, 2021
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| Regulatory Notice 21-37 | The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
Effective Immediately
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| Election Notice – 10/19/21 | Notice of FINRA Regional Committee Elections and Mailing of Ballots
Ballots Due: November 18, 2021
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| Election Notice – 10/19/21 | Notice of SFAC Election and Mailing of Ballots
Ballot Due Date: November 18, 2021
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| Information Notice 10/15/21 | 2022 Holiday Margin Extensions Schedule
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| Regulatory Notice 21-36 | FINRA Encourages Firms to Consider How to Incorporate the Government-wide Anti-Money Laundering and Countering the Financing of Terrorism Priorities Into Their AML Programs
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| Regulatory Notice 21-35 | FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
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| Regulatory Notice 21-34 | FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
Effective Date: January 1, 2022
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| Regulatory Notice 21-33 | FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
Effective Date: September 28, 2021
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| Regulatory Notice 21-32 | FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
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| Regulatory Notice 21-31 | FINRA Establishes New Supplemental Liquidity Schedule (SLS)
Effective Date: March 1, 2022. The first SLS must be completed as of the end of March 2022 and will be due by May 4, 2022.
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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Nomination Deadline: October 1, 2021
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| Election Notice – 9/1/21 | Call for Candidates for Upcoming FINRA Regional Committee Election
Nomination Deadline: October 1, 2021
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| Regulatory Notice 21-30 | FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names
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| Regulatory Notice 21-29 | FINRA Reminds Firms of their Supervisory Obligations Related to Outsourcing to Third-Party Vendors
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| Regulatory Notice 21-28 | FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
Effective Date of Rule 6439 (except paragraph (d)(1)(B)): October 1, 2021
Effective Date of Rule 6439(d)(1)(B): June 3, 2022. Member inter-dealer quotation systems are not required to report to FINRA pursuant to Rule 6439 any of the items of information specified in paragraph (d)(1)(B) because the items specified in paragraph (d)(1)(B)(i) through (xi) are subject to reporting to the Consolidated Audit Trail under Rule 6830. |