Rule Filing Status: Filed for Immediate Effectiveness

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend provisions of the FINRA Rule 9000 Series (Code of Procedure) and Funding Portal Rule 900 Series (Code of Procedure) that require or allow for a sanction or other regulatory measure to take effect immediately.

Financial professionals have a crucial role in protecting elderly clients from financial fraud. NASAA, and FINRA are co-hosting this free webinar that offers practical, actionable strategies to help you identify common elder fraud schemes and learn about the tools available to help prevent and address suspected or detected fraud.

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to stay the effectiveness of specified expulsions of member firms, cancellations of membership, and denials of applications for continued membership of disqualified member firms to allow for SEC review. The proposed rule change would amend FINRA Rule 8320, the FINRA Rule 9000 Series, and Funding Portal Rule 900(b).