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What's New on FINRA.org
- Technical NoticeNovember 24, 2020
- Information NoticeFINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After ThanksgivingNovember 24, 2020
- PodcastNovember 24, 2020
- Technical NoticeNovember 23, 2020
- Information Notice2021 and First Quarter of 2022 Report Filing Due Dates: Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)November 23, 2020
- Virtual Conference PanelNovember 18, 2020
- Monthly Disciplinary ActionsNovember 16, 2020
- News ReleaseNovember 16, 2020
- Rule FilingProposed Rule Change to Address Firms with a Significant History of MisconductNovember 16, 2020
- Technical NoticeNovember 12, 2020
- Investor HighlightsNovember 12, 2020
- Targeted Examination LetterNovember 11, 2020
- PodcastNovember 10, 2020
- Rule FilingProposed Rule Change to Adopt Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision).November 6, 2020
- Technical NoticeNovember 5, 2020
- Technical NoticeNovember 4, 2020
- Regulatory NoticeBroker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021October 30, 2020
- News ReleaseOctober 29, 2020
- Regulatory NoticeFINRA Adopts Rule to Limit a Registered Person From Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a CustomerOctober 29, 2020
- Rule FilingProposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and DisclosureOctober 29, 2020
- Rule FilingProposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement OfferingsOctober 28, 2020
- PodcastOctober 27, 2020
- Rule FilingProposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Removal of NAC Members with an Existing Provision in the FINRA By-Laws Related to the Removal of FINRA GovernorsOctober 22, 2020
- Election NoticeNotice of FINRA Regional Committee Elections and Mailing of BallotsOctober 20, 2020
- Regulatory NoticeThe National Adjudicatory Council (NAC) Revises the Sanction GuidelinesOctober 20, 2020