Cast Your Vote in the FINRA Board of Governors Election

• TRACE Transition to Native FIX: FINRA is transitioning from our legacy FIX Protocol platform to a new Native FIX platform for TRACE trade reporting. We anticipate retiring all TRACE legacy FIX reporting late in the fourth quarter.
   
• Board of Governors Election: FINRA member firms are invited to vote in the election for one Small Firm Governor and one Large Firm Governor to the FINRA Board of Governors. Voting concludes at 9 a.m. ET on July 13, when the 2026 Annual Meeting of FINRA member firms will take place. Firms eligible to vote should have received an email from FINRA's Election Agent ([email protected]) containing specific voting instructions.
   
• New Member Application: FINRA has introduced technological enhancements to the New Member Application (Form NMA). The enhanced Form NMA is now available through FINRA Gateway. The legacy version of the form will retire on July 15.
   
• Rule 605 Designated Participant Authorization Form: FINRA launched an updated Rule 605 Designated Participant Authorization Form, enabling members to obtain unique reporter identification codes and provide hyperlinks to their Rule 605 execution quality reports. The new form is available through the FINRA Gateway in advance of amendments to Rule 605 of SEC Regulation NMS and the Rule 605 NMS Plan, effective Aug. 1. All members selecting FINRA as their Designated Participant must submit the new form.
   
• TRF Operating Hours: FINRA’s Trade Reporting Facilities (TRFs) will extend their operating hours. Starting Dec. 6., they will operate from 9 p.m. ET on Sunday through 8 p.m. ET on Friday, with a one-hour technical pause 8 p.m.-9 p.m. ET, Monday through Thursday, excluding holidays.
   
• New Intraday Margin Standards: FINRA adopted new intraday margin standards to replace in their entirety the outdated day trading margin requirements, including the day trade count requirements for designating a customer as a “pattern day trader” and the $25,000 pattern day trader minimum equity requirement. The effective date of the amendments was June 4. Members who need more time to implement the rule change will be permitted to phase in their implementation over a period of 18 months, until Oct. 20, 2027.

Disciplinary Actions

2026 Crypto Asset Activity Information Request | June 25 | Virtual Event

Small Firm Briefing: Regulatory Operations Transformation and FINRA Forward Updates | June 29 | Virtual Event

Decision Simulation: Ransomware Response | June 30 | Virtual Event

FINRA Certified Regulatory and Compliance Professional (CRCP)^® Program Week I | July 12-17 | In-Person Event | Washington, DC

U.S. Department of the Treasury's Large Position Reporting Rules Workshop 2026 | June 26 | Virtual Event

Webinar: AI Adoption in Practice: Supervision | July 29 | Virtual Event

Financial Crimes and Cybersecurity Conference | Aug. 10-11 | Hybrid Event | New York, NY

Advertising Regulation Conference | Oct. 15-16 | Hybrid Event | Washington, DC

FINRA Small Firm Conference | Oct. 27-28 | In-Person Event | Chicago, IL

FINRA Certified Regulatory and Compliance Professional (CRCP)^® Program Week II | Nov. 15-20 | In-Person Event | Washington, DC

Crypto and Blockchain Education Program Foundational E-Learning Courses | Self-Paced

Member Firm Hub – Latest guidance, resources, educational opportunities and more.

FINRA Forward – An overview of our work in action for becoming more effective and efficient at pursuing our mission is available on FINRA.org. The webpages include information and videos about our efforts to modernize our rules, empower member firm compliance, and combat cyber and fraud threats.

Quarterly Regulatory Policy Agenda – An overview of our current priorities, including recently approved or adopted rule changes, for significant regulatory policy initiatives.

Comment Process – On-demand webinar on how to provide comments on FINRA Forward proposals, as well as the impact of comment letters and how they are used. 

Involvement and Election Process – How to engage with FINRA to help carry out our mission of protecting investors and safeguarding market integrity. Members can contribute their unique perspectives and skillsets with rotating terms on FINRA committees and other opportunities. Submit an indication of interest to be considered to join a FINRA advisory committee or speak at a FINRA event by clicking here.

Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA). 

FINRA Unscripted – Monthly podcast on a range of topics important to FINRA members and other stakeholders. 

Investor Insights – Feature articles on timely topics for investors, which firms are welcome to share with customers.