What's New on FINRA.org

Technical Notice
Upcoming Retirement of the OTC Bulletin Board (OTCBB)
September 17, 2021
Rule Filing
SR-FINRA-2021-024
Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
September 17, 2021
Regulatory Notice
Regulatory Notice 21-33
FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
September 17, 2021
Targeted Examination Letter
Social Media Influencers, Customer Acquisition, and Related Information Protection
September 16, 2021
Monthly Disciplinary Actions
Monthly Disciplinary Actions - September 2021
September 15, 2021
Request for Comment
Regulatory Notice 21-32
FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
September 14, 2021
Investor Insights
Are You Staying Cyber Safe? 7 Tips for Securing Your Financial Accounts
September 13, 2021
News Release
FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
September 10, 2021
Podcast
Make Your Voice Heard: FINRA's Regional Committees
September 7, 2021
Regulatory Notice
Regulatory Notice 21-31
FINRA Establishes New Supplemental Liquidity Schedule (SLS)
September 3, 2021
News Release
FINRA Announces Governor Elections and Appointments
September 1, 2021
Technical Notice
FINRA OTCE and OTC Transparency Data Websites Availability
September 1, 2021
Technical Notice
fileX transition from Basic Auth to OAuth 2.0
September 1, 2021
Election Notice
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Regional Committee Election
September 1, 2021
Election Notice
Election Notice – 9/1/21
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
September 1, 2021
Technical Notice
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems
August 30, 2021
Investor Insights
SPAC Warrants: 5 Tips to Avoid Missed Opportunities
August 30, 2021
Registration
Annual Renewal
August 26, 2021
Events & Training
Ask FINRA Advertising Regulation Senior Staff Webinar
August 25, 2021
Technical Notice
FINRA OATS Retirement
August 25, 2021
Podcast
The Journey to the Cloud: Implications for the Securities Industry
August 24, 2021
Events & Training
2021 FINRA Virtual Diversity Leadership Summit
August 19, 2021
News Release
New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry
August 16, 2021
Report / Study
Cloud Computing in the Securities Industry
August 16, 2021
Monthly Disciplinary Actions
Monthly Disciplinary Actions - August 2021
August 16, 2021