Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
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Systems
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*These are suggested departments only. Others may be appropriate for your
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-3 Records to be made by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
This Report addresses several regulatory key topics for each of the four categories: (1) Firm Operations; (2) Communications and Sales; (3) Market Integrity; and (4) Financial Management. As described further in the “How to Use This Report” section below, the importance and relevance of the considerations, findings and effective practices in each of these areas will vary for each member firm.
In
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than
(a) No member shall accept an order from a customer, including foreign customers and/or broker-dealers trading with or through the member, for eligible transactions of such customers that settle in the United States, pursuant to an arrangement whereby payment for securities purchased or delivery of securities sold is to be made to or by an agent of the customer unless all of the following
As part of the registration / licensing process, FINRA administers examinations on which you must demonstrate proficiency in the areas in which you will work, prior to engaging in the activity
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
