Spotlight on World Investor Week | FINRA.org

Spotlight on World Investor Week

October 7, 2026

Features

  • Spotlight on World Investor Week  
    FINRA is marking World Investor Week by inviting you to explore the following new research and investor content:
     
    • A study, “What Separates Sophisticated Investors? Risk Literacy and Investment Decision-Making,” from the FINRA Investor Education Foundation and the Stanford Graduate School of Business finding that most investors lack advanced investment knowledge, increasing their exposure to investment risk.
    • An Investor Bulletin to raise awareness about the importance of investor education and protection, published jointly by FINRA, the SEC’s Office of Investor Education and Assistance, the CFTC’s Office of Customer Education and Outreach, the North American Securities Administrators Association, the National Futures Association, and the Securities Investor Protection Corporation.  
    • A new episode of the FINRA Unscripted podcast taking a close look at AI-enabled fraud, among the most rapidly growing risks facing investors today.
    • A new Investor Insights on fraud schemes that trick investors into transferring funds from their investment accounts to scammers.  
       
  • NAC Election Petition Period Begins
    FINRA opened a 45-day petition period for those interested in becoming candidates to run for one open small firm seat on the National Adjudicatory Council (NAC). The NAC reviews all disciplinary decisions issued by FINRA hearing panels. Eligible individuals who submit the required number of valid petitions by Nov. 19 will be included as candidates on the ballot. The election will begin in late November, and the elected individual will serve a four-year term beginning in January 2027 and concluding in December 2030. Please see the election notice for more information on the petition procedures. 
     
  • FINRA Expands Access to IPOs for Collective Trust Funds 
    The SEC approved FINRA’s proposal to exempt collective trust funds (CTFs) from the IPO allocation rules. The new exemption is designed to reduce regulatory burdens for CTFs that invest in IPOs while maintaining the integrity of the public offering process. It is part of ongoing FINRA Forward efforts to promote capital formation without lessening investor protections. We will announce the effective date in a regulatory notice.  
     
  • Register Now for FINRA’s Best Execution Forum 
    Join FINRA on Oct. 13 for a virtual forum bringing together market experts to examine the evolving landscape of best execution in today’s markets. Two panels will explore the practical and regulatory implications of member firms’ duty of best execution under FINRA Rule 5310, including key potential market structure developments such as the SEC’s proposed rescission of Regulation NMS Rules 611 and 610(e). The event is closed to the press. We encourage you to register today (member firms must provide their broker-dealer number when registering).
     
  • Customer Information Request Live in FINRA Gateway
    The 2026 Customer Information Request is now published in FINRA Gateway, asking in-scope member firms to provide information about their institutional, non-institutional, and foreign customers by Nov. 18. Firms may register for an Oct. 13 webinar to learn more about the request, including how the data will be used and who to contact with questions.
Regulatory Reminders
  • 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 8-9 p.m. ET, Mondays through Thursdays, excluding holidays.

Disciplinary Actions

  • FINRA has fined Revere Securities LLC $800,000 for anti-money laundering and supervisory violations related to small-cap IPOs for foreign-based issuers.
     
  • FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The September 2026 Monthly Disciplinary Actions are available here.
Education and Compliance Programs

Webinar: Customer Information Request | Oct. 13 | Virtual Event

FINRA Best Execution Forum | Oct. 13 | Virtual Event

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

Report Center Webinar Series: MSRB Report Cards | Oct. 22 | Virtual Event

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

FINRA Virtual Registration Systems Foundation | Nov. 4-5 | Virtual Event

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

Annual Conference | May 11-13, 2027 | Hybrid Event | Washington, DC

Crypto Applied Learning Program | June 8-10, 2027 | 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.
 
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