FIFC Reaches 1,000 Users: Join the Industry’s Collective Defense Network | FINRA.org

FIFC Reaches 1,000 Users: Join the Industry’s Collective Defense Network

August 12, 2026

Features

  • FIFC Reaches 1,000 Users: Join the Industry’s Collective Defense Network
    More than 1,000 member firms, representing nearly one-third of FINRA’s membership, are now enrolled in our Financial Intelligence Fusion Center. The FIFC is a free, secure, and bi-directional intelligence sharing hub that delivers curated, actionable cyber and fraud threat intelligence built specifically for broker-dealers. Enrollment is voluntary, and sharing intelligence is never required to benefit. When one member sees a threat, the FIFC helps protect everyone else before it spreads. Learn more and enroll at FIFC.finra.org.
     
  • FINRA Automates Filing Updates for Confidential Offerings and Amendments
    As part of FINRA Forward, we are updating the Public Offering System to streamline filings for confidential offerings and non-shelf amendments. Filers submitting confidential offerings can upload a draft registration statement and have key information automatically extracted and pre-populated into the form. For non-shelf amendments, the system automatically detects SEC filing activity and applies updated data to the FINRA form—with the ability to review, edit, or undo any auto-populated value. Filers receive notifications when SEC amendment activity is detected. Both features are available starting Aug. 15.
     
  • Report Card Webinar Series Kicks Off Tomorrow
    As a key part of our FINRA Forward initiative to empower compliance, we are making several enhancements to our report card program. To that end, we are launching a new webinar series designed to help firms leverage report cards to detect compliance problems early. The series explores the different types of report cards available through our Report Center, organized by key regulatory and operational categories. The first session, which takes place tomorrow, Aug. 13, 2-2:45 p.m. ET, provides a comprehensive overview of the monthly TRACE compliance reports that cover trades of TRACE-eligible fixed income securities. Click here to register.
     
  • FINRA Makes TRACE Report Card Data Available via API 
    Monthly summary and detail report card data for four TRACE Quality of Market report cards—Corporate Bonds, Securitized Products, Agency Debt, and Treasuries—are now available machine-to-machine through FINRA’s API service. This machine-to-machine functionality supports the automation goals of member firms, and we plan to expand it to additional report cards in the future. Existing API subscribers can access this new content at no additional cost by reviewing the release notes, while firms not currently subscribed can consult the fee schedule and contact their Super Account Administrators to submit an API Console Entitlement Request. For questions, visit the FAQ or contact FINRA’s Support Center at (301) 590-6500.
Regulatory Reminders
  • SEC Requests Comment on Proposed Exemption for Collective Trust Funds: The SEC issued an order July 9 to institute proceedings to determine whether to approve or disapprove FINRA’s amended proposal to exempt collective trust funds from IPO allocation rules. Comments on the proposal, as amended, were due to the SEC by Aug. 4 and rebuttal comments are due by Aug. 18.
     
  • FINRA Seeks Comment on Modernizing Communications Rule: FINRA published Regulatory Notice 26-14 on July 9 requesting comment on a proposal to modernize our rules related to communications with the public. Comments are due by Sept. 11.
     
  • 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 Sundays through 8 p.m. ET on Fridays, with a one-hour technical pause from 8-9 p.m. ET, Mondays through Thursdays, excluding holidays.
     
  • FINRA Seeks Comment on Modernizing Best Execution Guidance: FINRA published Regulatory Notice 26-15 on July 24 to request comment on how we can modernize our best execution guidance to facilitate investor protection and market integrity under the existing principles-based standard. Comments are due by Sept. 25.

Disciplinary Actions

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