Deadline Fast Approaching to Vote in Committee Elections

Features

• Deadline Fast Approaching to Vote in Committee Elections 
  There is one week left to vote for the Small Firm Advisory Committee (SFAC) New York region seat and for several contested Regional Committee seats. Firms eligible to vote should have received voting instructions and ballots from FINRA’s election agent ([email protected]). The voting deadline is Nov. 19, so we encourage firms to cast their vote soon. For more information, please see the SFAC Election Notice and the Regional Committee Election Notice, or contact FINRA’s Corporate Secretary via email. 
   
• FINRA Posts Report Filing Due Dates 
  FINRA issued a Notice listing the dates that member firms’ annual reports, FOCUS reports, form custody filings, and supplemental FOCUS filings are due in 2026 and the first quarter of 2027. As a reminder, firms must submit these filings electronically through our systems. 
   
• 2026 Extensions of Time Filing Schedule 
  FINRA posted a filing schedule to assist firms in submitting accurate requests for extensions of time as contemplated by the Federal Reserve’s Regulation T, Securities and Exchange Act Rule 15c3-3(n), and FINRA Rule 4210. Firms should use the dates noted in the filing schedule when requesting extensions from FINRA throughout 2026, especially on dates prior to and after any holiday during which exchanges or banks are closed. When incorrect dates are submitted, our system may deny the request, resulting in firms having to resubmit the request with corrected dates. See the Notice for more information. 
   
• Webinar on Regulation S-P Preparedness Support 
  FINRA will hold a webinar on Nov. 19 to provide member firms with an overview of the key elements of the SEC's amendments to Regulation S-P and relevant resources to help member firms prepare for the upcoming compliance dates—Dec. 3, 2025, for “larger entities” and June 3, 2026, for “smaller entities.” 
   
• FinPro Gateway Simplifies Required Information Delivery 
  FINRA recently adopted system enhancements to enable member firms to electronically provide required information relating to Form U4, Form U5, and predispute arbitration through the Financial Professional Gateway (FinPro Gateway™). FINRA has published several resources to help firms satisfy their regulatory obligations through this new functionality, including step-by-step instructions on opting in, frequently asked questions, and recommendations to meet the conditions described in our Aug. 15 Notice announcing the enhancements. Firms may access these resources here. 
   
• ICYMI: Notice on 2026 Renewal Program 
  Preliminary statements for firm, individual, and branch renewals for 2026 were posted in E-bill on Nov. 10, and final statements will be available on Jan. 2, 2026. Full payment of the preliminary statements by Dec. 8 is mandatory. Late payments will incur fees and may result in business ineligibility in certain jurisdictions. Please see the Notice for more details and visit the FINRA Fee Adjustment Schedule page for additional information.