FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Day of Closure
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Federal Reserve Board Regulation T
FINRA Rule 4210
FINRA Rule 4230
FINRA Rule 4521
FINRA Rule 4524
SEA Rule 15c3-1
SEA Rule 15c3-3
SEA Rule 17a-5
Regulation SHO
Suggested Routing
Compliance
Legal
Margin Department
Operations
OATS Expansion to all NMS Stocks Road Shows.
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 12214(c) through (e) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13214(c) through (e) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together
Summary
Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of information—confidential or
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
