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.
Release DateSystemAreaDescriptionAugust 1, 2025FINRA GatewayIndividual ProfilesBug Fix: The Reg Element CE course and its credits are not displayed in the IAR CE sub-section under Continuing Education section. With this fix, the user will be able to view all the applied or excess courses including Reg Element CE course. Enhancements: The tooltip languages for eligible
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SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Discussion
In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any
Mr. Chairman, there is no doubt financial fraud aimed at older Americans is real. Results from a recent FINRA survey confirm this disturbing fact.
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
Summary
FINRA has amended its By-Laws to exempt from the Trading Activity Fee (TAF) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.
The amendment to FINRA’s TAF will take effect on November 6, 2023.
The amended text of the FINRA By-Laws is set forth in Attachment A.
Questions regarding this Notice should be directed
REQUEST FOR COMMENT
Prohibition of Certain Bank Tying Arrangements
Comment Period Expires: October 21, 2002
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KEY TOPICS
Corporate Finance
Legal & Compliance
Senior Management
Investment Banking
Just and Equitable Principles of Trade
NASD Rule 2110
Discussion
NASD is concerned that the practice of tying commercial credit to investment banking
INFORMATIONAL
Decimalization Testing
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KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
