What's New

The Alert Investor

July 21, 2017

When the Trading Stops—Part 2: Delays and Suspensions
Election Notice

July 21, 2017

Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Email to Firms

July 18, 2017

Update: FINRA Board of Governors Meeting
Video

July 18, 2017

July 2017 Board Update
A Few Minutes With FINRA

July 17, 2017

Cybersecurity – Part II
Monthly Disciplinary Actions

July 17, 2017

Monthly Disciplinary Actions July 2017
Podcast

July 13, 2017

Maximizing Your Match: Retirement Isn’t Free—But a 401(k) Match Is
The Alert Investor

July 13, 2017

When the Trading Stops—Part I: Trading Halts
Board of Governors Meeting Announcement

July 12, 2017

July Board of Governors Meeting: Rulemaking Items for Consideration
Regulatory Notice

July 12, 2017

Regulatory Notice 17-24
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
News Release

July 12, 2017

FINRA Posts Guidance on Enhanced Price Disclosure to Retail Investors for Corporate and Agency Bonds
Rule Filing

July 11, 2017

SR-FINRA-2017-025
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator.
Regulatory Notice

July 11, 2017

Regulatory Notice 17-23
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
News Release

July 11, 2017

FINRA Successfully Launches Reporting of Treasury Transactions, Providing Regulators with Enhanced Insight into Treasury Market
Investor Education

July 10, 2017

Free Investor Forum: Thursday, August 31, 2017—Tempe, AZ
A Few Minutes With FINRA

July 10, 2017

Cybersecurity – Part I
TRACE

Technical Notice

July 6, 2017

Reminder: TRACE for Treasuries Securities Reference Data
News Release

July 6, 2017

Fake Online Job Interviews Phishing for Your Personal Information
Quarterly Disciplinary Review

July 5, 2017

Quarterly Disciplinary Review - July 2017
Podcast

July 3, 2017

Podcast: June 2017 Monthly Recap
June 30, 2017

Annual Reports & Financials
TRACE

Technical Notice

June 29, 2017

Reminder: TRACE Trade Reporting of Treasury Securities
The Alert Investor

June 29, 2017

4 Actions to Build Financial Independence This July 4th
News Release

June 29, 2017

William H. Heyman Elected Chairman of FINRA Board of Governors
Rule Filing

June 28, 2017

SR-FINRA-2017-024
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

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