Recent FINRA Notices

January 17, 2019

October 2018 Supplement to the Options Disclosure Document

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January 09, 2019

U.S. Treasury Security Auction Awards

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January 08, 2019

FINRA Updates Supplemental Statement of Income

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January 02, 2019

Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

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December 21, 2018

2019 Holiday Margin Extensions Schedule

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December 21, 2018

Executive Summary FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and Regional Committees.

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December 18, 2018

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

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December 17, 2018

Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays

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December 10, 2018

SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders

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December 04, 2018

Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning

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November 20, 2018

FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving

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November 16, 2018

2019 and First Quarter of 2020 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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November 05, 2018

Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements

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October 31, 2018

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019

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October 29, 2018

Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council

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October 19, 2018

FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions

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October 16, 2018

Notice of SFAC Election and Ballots

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October 16, 2018

Notice of FINRA Regional Committee Elections and Ballots

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October 16, 2018

Notice of Election and Ballots for FINRA Small Firm NAC Member Seat

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October 16, 2018

SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities

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October 04, 2018

SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities

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October 02, 2018

Administrative Changes to the Continuing Education Regulatory Element Programs

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September 28, 2018

SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences

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September 24, 2018

Summary FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections. Questions regarding this Notice should be directed to:

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