What's New on FINRA.org

Technical Notice
Web Application Firewall Information
July 21, 2021
Board of Governors Meeting
July 2021 Board Meeting
July 20, 2021
Technical Notice
REMINDER: Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS) – Effective Monday, July 26, 2021
July 19, 2021
Monthly Disciplinary Actions
Monthly Disciplinary Actions - July 2021
July 15, 2021
Regulatory Notice
Regulatory Notice 21-26
FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements
July 15, 2021
Podcast
Introducing Stephanie Dumont
July 13, 2021
Blog Post
Why The Best Mid-Sized Company to Work In IT Is A Financial Regulator – FINRA. Again.
July 12, 2021
Technical Notice
Notice: Enhancements to TRACE Volume Reports
July 12, 2021
Regulatory Notice
Regulatory Notice 21-25
FINRA Continues to Encourage Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
July 8, 2021
News Release
FINRA Board of Governors Appoints Sam Deshpande as Newest Governor
July 7, 2021
Rule Filing
SR-FINRA-2021-018
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
July 6, 2021
Regulatory Notice
Regulatory Notice 21-24
FINRA Announces Updates to the Interpretations of FINRA’s Margin Rule Regarding Minimum Equity
July 6, 2021
News Release
FINRA Orders Record Financial Penalties Against Robinhood Financial LLC
June 30, 2021
Request for Comment
Special Notice – 6/30/21
FINRA Requests Comment on Effective Methods to Educate Newer Investors
June 30, 2021
News Release
FINRA Launches Educational Initiative Aimed at Newer Investors
June 30, 2021
Virtual Conference Panel
Transforming the Securities Industry Continuing Education Program
June 30, 2021
Podcast
FINRA’s Financial Intelligence Unit: Connecting the Dots
June 29, 2021
News Release
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $8.4 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
June 25, 2021
Investor Insights
Pooled Money: Understanding Unit Investment Trusts
June 25, 2021
Technical Notice
FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
June 25, 2021
Financial Reports
Financial Reports and Policies
June 25, 2021
Regulatory Notice
Regulatory Notice 21-22
FINRA Alerts Firms to Phishing Email From “FINRA Support” From the Domain Name “westour.org”
June 23, 2021
Technical Notice
Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS) – Test Files Available Now
June 23, 2021
Technical Notice
FINRA OTCE and OTC Transparency Data Websites Availability
June 23, 2021
Regulatory Notice
Regulatory Notice 21-23
FINRA Reminds Member Firms of Requirements Concerning Best Execution and Payment for Order Flow
June 23, 2021