Deadline Fast Approaching to Vote in FINRA Board Election | FINRA.org

Deadline Fast Approaching to Vote in FINRA Board Election

July 8, 2026

Features

  • Deadline Fast Approaching to Vote in FINRA Board Election
    FINRA encourages member firms to vote before July 13 in the election for one Small Firm Governor and one Large Firm Governor to the FINRA Board of Governors. These representatives play a crucial role in providing industry perspective on important issues before the Board. Voting concludes on Monday, July 13 at 9 a.m. ET, when the 2026 Annual Meeting of FINRA member firms will take place. More details on the candidates and election process can be found in this notice. Firms eligible to vote should have received emails from FINRA's Election Agent ([email protected]) containing specific voting instructions.
     
  • FINRA Addresses Comments on Performance Projections Proposal
    On June 30, FINRA responded to comments on our proposal to amend FINRA Rule 2210 (Communications with the Public) and contemporaneously filed a partial amendment to the proposal. The proposal would permit broker dealers to present performance projections or targeted returns in written communications to investors subject to specified conditions. Comments on the proposed rule change as amended are due to the SEC by July 28.
     
  • FINRA Amends Rule 3210 to Add Exception for Trump Accounts
    FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) generally requires the associated persons of member firms to obtain prior written consent and make other disclosures for their personal accounts, and the accounts of related persons, that they open or maintain at other firms. FINRA issued Regulatory Notice 26-13 to remind members that, effective June 17, FINRA amended the rule to except Trump Accounts from the rule’s requirements.
     
  • FINRA Amends Rules to Extend TRF Operating Hours
    FINRA filed a proposed rule change to extend the operating hours of our Trade Reporting Facilities (TRFs). Starting Dec. 6, they will operate from 9 p.m. ET Sunday through 8 p.m. ET Friday, with a one-hour technical pause from 8 p.m. ET to 9 p.m. ET, Monday through Thursday, excluding holidays, in alignment with the anticipated operating hours of the Securities Information Processors. The new TRF operating hours were announced previously in a Technical Notice.
     
  • New Podcast: Turning Member Feedback Into Action
    In the latest episode of FINRA Unscripted, Kayte Toczylowski, Senior Vice President, Member Firm Experience, discusses the many ways members can engage with FINRA—from advisory committees to CEO roundtables—and how that interaction directly shapes rulemaking and drives internal improvements.
     
  • New Investor Education Resources on Trump Accounts
    FINRA is providing new and updated investor education resources with information on Trump Accounts, including an Investor Insights on ways to invest for children, available here. We revised our existing investor content on retirement accounts, ABLE accounts, and IRS contribution limits to incorporate Trump Accounts. Firms are free to share our Investor Insights—and all our investor education content—with customers.
     
  • Treasury Calls Large Position Reports
    The Treasury Department is calling for Large Position Reports from those entities whose positions in the Treasury Floating Rate Note due January 2026 (91282CJU6) equaled or exceeded $8.4 billion as of Jan. 23, 2026, or Jan. 30, 2026. Reports must be received by Treasury before 12 p.m. ET on July 13. More information is available in the public announcement.
Regulatory Reminders
  • Board of Governors Election: Members are encouraged to vote before the election concludes Monday, July 13 at 9 a.m. ET. Read feature above for more information.
     
  • 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.
     
  • 2026 Crypto Asset Activities Request: FINRA published an information request in FINRA Gateway last month asking all member firms to respond to questions about their current and planned crypto asset activities by July 24. Watch the on-demand recording of the related webinar for information about key areas of focus, submission timelines and more.
     
  • Amendment to Performance Projections Proposal: On June 30, FINRA responded to comments on our proposal to amend FINRA Rule 2210 (Communications with the Public) and contemporaneously filed a partial amendment to the proposal. Comments on the proposed rule change as amended are due to the SEC by July 28. Read feature above for more information. 
     
  • 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.
     
  • 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.

Disciplinary Actions

  • FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The June 2026 Monthly Disciplinary Actions are available here.
Education and Compliance Programs

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

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

Resources

Member Firm Hub – The 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 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 – A monthly podcast that discusses a range of topics important to the securities industry.

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

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About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored.
 
Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS.
 
Subscribers
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