What's New

Regulatory Notice

July 19, 2019

Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting
Regulatory Notice

July 18, 2019

Regulatory Notice 19-24
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
News Release

July 17, 2019

FINRA Announces Final Results of Mutual Fund Waiver Initiative
OATS

Announcement

July 17, 2019

Reminder – Final Weekend Testing Opportunity - NYSE Pillar Migration - July 20
Guidance

July 16, 2019

Filing Guidance - Public Offering Review
Trade Reporting Notice

July 16, 2019

Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions
Board of Governors Meeting Announcement

July 16, 2019

Upcoming Board Meeting
Investor Highlights

July 16, 2019

The Retirement Confidence and Preparation Gap
Guidance

July 16, 2019

Firm Guidance – Private Placement Filings
Monthly Disciplinary Actions

July 15, 2019

July 2019 Disciplinary Actions
Rule Filing

July 12, 2019

SR-FINRA-2019-021
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Regulatory Notice

July 11, 2019

Regulatory Notice 19-23
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
News Release

July 11, 2019

FINRA Releases New Guidance on Credit for Extraordinary Cooperation
A Few Minutes With FINRA

July 11, 2019

A Few Minutes With FINRA: Credit for Extraordinary Cooperation
Rule Filing

July 10, 2019

SR-FINRA-2019-020
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
FINRA File Transfer Service

Technical Notice

July 10, 2019

FINRA File Transfer Service Outage
Regulatory Notice

July 9, 2019

Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Podcast

July 9, 2019

Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?
Investor Highlights

July 9, 2019

7 Tips For Creating a Better Password
News Release

July 8, 2019

Joint Statement on Broker-Dealer Custody of Digital Asset Securities
TRACE

Technical Notice

July 8, 2019

TRACE MBS Dissemination Issue
FINRA360 Progress Report

July 2, 2019

Engagement
FINRA360 Progress Report

July 2, 2019

Additional Small Firm Initiatives
FINRA360 Progress Report

July 2, 2019

Examination Findings
FINRA360 Progress Report

July 2, 2019

Enhancements to the Securities Industry Continuing Education Program (CE Program)

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What's New