What's New

News Release

December 13, 2018

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Speech / Testimony

December 13, 2018

Statement Before the SEC Investor Advisory Committee
Rule Filing

December 12, 2018

SR-FINRA-2018-041
Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Investor Education

December 11, 2018

Public Forum On Millennials And Investing: December 12, 2018
Board of Governors Meeting Announcement

December 10, 2018

Upcoming Board Meeting
ORF

Technical Notice

December 10, 2018

Update - OTCE Daily List Data
Regulatory Notice

December 10, 2018

Regulatory Notice 18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Report / Study

December 7, 2018

Report on FINRA Examination Findings
News Release

December 7, 2018

FINRA Publishes 2018 Report on Examination Findings
TRF

Technical Notice

December 7, 2018

FINRA/Nasdaq Trade Reporting Facility Retail Participants
Investor Highlights

December 6, 2018

How to Avoid the Holiday Debt Trap
Podcast

December 4, 2018

Insider Trading: Finding the Needle in the Haystack
Information Notice

December 4, 2018

Information Notice – 12/4/18
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
TRACE

Technical Notice

December 3, 2018

TRACE for Securitized Products API Specification Update
TRACE

Technical Notice

December 3, 2018

FINRA System Closures for National Day of Mourning
Regulatory Notice

December 3, 2018

Regulatory Notice 18-39
Unexpected Close of Securities Markets
Investor Highlights

November 29, 2018

Storing and Securing Cryptocurrencies
Rule Filing

November 28, 2018

SR-FINRA-2018-040
Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
Event

November 27, 2018

2019 Compliance Outreach Program for Municipal Advisors
Information Notice

November 20, 2018

Information Notice – 11/20/18
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Registration & Qualifications

November 16, 2018

Manage Your Securities Industry Career
Information Notice

November 16, 2018

Information Notice – 11/16/18
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)
Rule Filing

November 15, 2018

SR-FINRA-2018-039
Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)
News Release

November 15, 2018

FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards
Monthly Disciplinary Actions

November 15, 2018

Monthly Disciplinary Actions - November 2018

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