Features - FINRA Announces Partnerships to Expand Investor Education
FINRA and the SIFMA Foundation today announced a new strategic alliance to expand access to financial education for young people nationwide. The five-year partnership brings together the organizations’ expertise in financial and investor education to help investors of today and tomorrow develop the knowledge, skills, and confidence to make informed financial decisions throughout their lives. FINRA and SIFMA will explore new ways to engage digital-native investors through tools and resources designed to meet individuals where they are in their financial journey.
In addition, FINRA will now make our investor education content available on Zogo, a gamified financial learning platform, as part of our commitment to expanding investors’ access to trusted information. The content will cover the basics of setting goals, opening a brokerage account, and getting started on investing. It draws from FINRA’s established investor education resources and is adapted into bite-sized, interactive lessons with quizzes designed to reinforce understanding of core investing concepts.
- New Outside Activities Rule Effective Date Announced
FINRA has adopted new Rule 3290 to replace two existing rules—Rule 3270 (Outside Business Activities of Registered Persons) and Rule 3280 (Private Securities Transactions of an Associated Person)—and eliminate the reporting of non-investment related activities. In doing so, Rule 3290 enhances efficiency while preserving protections for investors and members. The rule change will take effect on Oct. 25, 2027.
- FINRA Extends Investor Protections to Binary Options
FINRA amended our rules and updated our interpretations to address binary options. Regulatory Notice 26-21, published Oct. 26, clarifies that Rules 2220 (Options Communications), 2360 (Options), and 4210 (Margin Requirements) apply to binary options, including options whose payout is based on the value of an issuer’s reported financial or operating metrics and options cleared by a registered clearing agency other than The Options Clearing Corporation. Updates to FINRA’s interpretations of Rule 4210 clarify the required margin computations for binary options. The rule changes took effect on Oct. 22.
- Register for Large IPO Readiness Webinar
Is your firm ready for the operational, capital, and regulatory demands of a large IPO? Join FINRA for a webinar for member firms engaged in—or considering—firm commitment underwritings. This session, Nov. 5, 2-2:30 p.m. ET, will explore topics including adding an underwriting business line; capital planning and subordinated loans; and funding, liquidity, and reserve computations. Register here.
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Regulatory Reminders |
- Post-Dated Forms BDW and ADV-W: Member firms can begin initiating Forms BDW and ADV-W filings with a termination date of Dec. 31, 2026, on Nov. 2. This allows members to request terminations of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Renewal Statements are generated will not be included in the fees assessed.
- Order Allocation Procedures: The rule change to eliminate the requirement that late allocations of bulk investment adviser orders be approved by a firm principal will take effect Nov. 16.
- Nominations for SFAC, Regional Committee Seats: FINRA is seeking candidates to fill vacancies on our Small Firm Advisory Committee (SFAC) and Regional Committees. Individuals eligible for the positions must submit an SFAC or Regional Committee candidate profile form to FINRA’s Corporate Secretary via email by Nov. 19.
- 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.
- Rule 5110 Amendments: The changes to improve and clarify parts of Rule 5110 regulating underwriting compensation will take effect Dec. 21
- Waiting Periods for Qualification Exams: The rule change to shorten the waiting periods for retaking failed FINRA qualification examinations will take effect Jan. 19, 2027.
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- FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The October 2026 Monthly Disciplinary Actions are available here.
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Education and Compliance Programs |
FBI Cyber & Financial Crime Threat Briefing Series: West | Nov. 4 | Virtual Event FINRA Virtual Registration Systems Foundation | Nov. 4-5 | Virtual Event Webinar: Large IPO Readiness | Nov. 5 | Virtual Event Financial Intelligence Fusion Center (FIFC) for Small Firms | Nov. 12 | 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. |
Follow FINRA |
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About FINRAFINRA 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. SubscribersYou received this message because you are currently subscribed to the email subscription list on the FINRA website. To update, use our "update information" or "unsubscribe" forms located at http://www.finra.org/Industry/Subscriptions |
