What's New

Investor Highlights

August 22, 2019

Avoid Student Loan Regret With These 4 Tips
Podcast

August 20, 2019

Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values
Election Notice

August 20, 2019

Election Notice – 8/20/19
FINRA Announces Nomination Process to Fill Upcoming Firm Vacancies on the National Adjudicatory Council
News Release

August 19, 2019

FINRA Announces Governor Elections and Appointments
Regulatory Notice

August 16, 2019

Regulatory Notice 19-28
Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
Monthly Disciplinary Actions

August 15, 2019

August 2019 Disciplinary Actions
Regulatory Notice

August 9, 2019

Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
TRACE

Technical Notice

August 8, 2019

New Vendor Management System for TRACE Vendors
Investor Highlights

August 7, 2019

529 Savings Plan Investor Tips
Regulatory Notice

August 7, 2019

Regulatory Notice 19-26
Regulation Best Interest
Podcast

August 6, 2019

Credit For Cooperation: Recognizing Extraordinary Efforts
Investor Alert

August 6, 2019

Updated: 529 Savings Plans—School Yourself Before You Invest
News Release

July 29, 2019

FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period
Rule Filing

July 26, 2019

SR-FINRA-2019-022
Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
Regulatory Notice

July 26, 2019

Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Video

July 24, 2019

July 2019 Board Update
Podcast

July 23, 2019

Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being
OTC Transparency

Technical Notice

July 22, 2019

ATS Transparency Data Quarterly Stats File Format Conversion
ORF

Technical Notice

July 22, 2019

Reminder – Second CTCI Migration Production Test for TRACE and ORF
Election Notice

July 19, 2019

Election Notice – 7/19/19
Notice of Annual Meeting of FINRA Firms and Proxy
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
Investor Highlights

July 16, 2019

The Retirement Confidence and Preparation Gap

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