What's New

Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms

SR-FINRA-2018-029
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities

SR-FINRA-2018-028
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement

What You Need to Know About IRAs

SR-FINRA-2018-027
Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations

Participation in the New FINRA/Nasdaq Trade Reporting Facility

FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry

Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration

Regulatory Notice 18-23
FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process

Final Production Test for TRACE Trade Reporting FIX Tag Changes

July 2018 Board Update

Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy