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Regulatory Notice 20-40
Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident. The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 06-02
ACTION REQUIRED 2006 Final Renewal Statements and Reports SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD® Executive Summary The 2006 NASD Broker-Dealer and
Regulatory Notice 20-39
Summary The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms. Firms should note the following key dates in the renewal process: October 19, 2020         Firms may begin submitting post-dated Form U5
Election Notice - 10/10/08
FINRA Small Firm Advisory Board Election
Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Election Notice - 8/26/08
Nominee for Vacant FINRA Board of Governors Small Firm Seat
Notice to Members 07-01
GUIDANCE Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD®
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Election Notice - 5/3/11
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor