h3 {font-size:1.3em}
h4 {font-family:georgia;font-weight:bold;font-size:1.1em}
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and
Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
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).
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
