FINRA Regulatory Notices

FINRA Regulatory Notices are the formal communications through which the Financial Industry Regulatory Authority, the self-regulatory organization for US broker-dealers, tells member firms about rule changes and its expectations. A notice typically does one of three things: requests comment on a proposed rule change, announces an approved rule change and when it takes effect, or explains how existing rules apply. Notices are numbered by year and sequence, and FINRA publishes them on its notices page alongside other types, including Information Notices, Election Notices, Trade Reporting Notices and the older Notices to Members.

Two recent examples show the range:

• Regulatory Notice 24-09 (27 June 2024) created no new rule. It reminded firms that FINRA's rules "apply when member firms use AI, including Gen AI or similar technologies, in the course of their business, just as they apply when member firms use any other technology or tool."
• Regulatory Notice 26-14 (9 July 2026) requested comment, until 11 September 2026, on proposed changes to modernize Rule 2210 on communications with the public, including its treatment of social media and AI.

A request for comment is not the end of the process. FINRA files proposed rule changes with the SEC, which publishes them for comment, and many need SEC approval before they can take effect (see SEC rulemaking). FINRA then announces approved changes and their effective dates, usually in a later notice, so the dates that bind a firm often sit in a different notice from the one that first described the change.

A broker-dealer compliance team should log every relevant notice with its type, the rules affected, any comment deadline and the effective date, and link guidance notices to the supervisory procedures they touch. The guide to LLM accuracy on regulatory text shows how Notice 24-09 feeds an AI control checklist.

This entry is general information, not legal advice.