UPDATE 10/19/2018: During the week of Oct. 8, 2018, exceptional market volatility again produced record numbers of electronic messages processed by FINRA, including the three highest-volume days in history:
The 107 billion messages processed on Oct. 10 topped the previous record of 101 billion set on March 28, 2018.
The very next day – Oct. 11 – saw a significantly higher record set: 135
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
SEC Approval and Effective Date for New Consolidated FINRA Rules
Remarks From FINRA Fixed Income Conference
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
