What's New

Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election

NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation

Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019

CTCI Migration Production Testing for TRACE AND ORF

May 2019 Disciplinary Actions

Report from FINRA Board of Governors Meeting – May 2019

May 2019 Board Update

Information Notice 5/10/19
Understanding Short Sale Volume Data on FINRA’s Website

Reminder UMBS issuing Agency

OTC Transparency Data Issue (Resolved)

Upcoming Board Meeting

Regulatory Notice 19-17
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct