FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting)
SEC Approves New Rules Governing Communications With the Public
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
Learn how to submit a Form BR amendment related to the Residential Supervisory Location (RSL) rule. In this short video (2:02 minutes), FINRA demonstrates a scenario for an existing branch that was previously filed with FINRA, the NYSE, and a state, but is now an RSL for FINRA and the NYSE, but not with the state.
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
NASDR has filed with the SEC a proposed rule change to change the effective date of SR-NASD 98-29, which amended Rule 2210 of the Conduct Rules of the NASD to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
NASDR has filed with the SEC a proposed rule change to amend and implement Rule 1140 and to make other conforming changes.
New Payments for Market Making Certification Requirement for FINRA Form 211
