What's New

TRACE trade reporting issues

Monthly Disciplinary Actions October 2018

FINRA New York Region Member Forum

Initial Coin Offerings and Cryptocurrencies

Update: FINRA Board of Governors Meeting

CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing

Regulatory Notice 18-34
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities

Information Notice – 10/02/18
Administrative Changes to the Continuing Education Regulatory Element Programs

Mr. Patrick Basilice, Chief Compliance Officer, Euronext Synapse LLC

FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018

Regulatory Notice 18-33
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences

FINRA Launches New SIE Exam to Streamline Examination Process for Prospective Candidates Entering the Securities Industry