What's New

Regulatory Notice 19-28
Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients

Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors

Regulatory Notice 19-26
Regulation Best Interest

Updated: 529 Savings Plans—School Yourself Before You Invest

FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period

SR-FINRA-2019-022
Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)

Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being

Reminder – Second CTCI Migration Production Test for TRACE and ORF

Trade Reporting Notice – 7/19/19
FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting

FINRA Announces Final Results of Mutual Fund Waiver Initiative

Trade Reporting Notice – 7/16/19
Trade Reporting Requirements Applicable to Step-Out Submissions

The Retirement Confidence and Preparation Gap