What's New

Regulatory Notice

April 19, 2019

Regulatory Notice 19-15
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
Investor Highlights

April 18, 2019

Cryptocurrency Trading Platforms: Do Your Homework
ORF

Technical Notice

April 17, 2019

Update - TRAQS Connections
Regulatory Notice

April 17, 2019

Regulatory Notice 19-14
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Podcast

April 16, 2019

2019 Budget Summary: A Look Behind the Curtain
Rule Filing

April 16, 2019

SR-FINRA-2019-014
Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
TRACE

Technical Notice

April 16, 2019

TRAQS Connections
Regulatory Notice

April 16, 2019

Regulatory Notice 19-13
SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts
News Release

April 16, 2019

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
Monthly Disciplinary Actions

April 15, 2019

April 2019 Disciplinary Actions
About FINRA

April 15, 2019

Office of the Ombudsman
TRACE

Technical Notice

April 15, 2019

FINRA Termination of Support of CTCI Protocol for Reporting Trades to TRACE AND ORF
TRACE

Technical Notice

April 12, 2019

TRACE-MSRB Cusips
Regulatory Notice

April 12, 2019

Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Rule Filing

April 11, 2019

SR-FINRA-2019-012
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Rule Filing

April 11, 2019

SR-FINRA-2019-013
Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
Rule Filing

April 9, 2019

SR-FINRA-2019-011
Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Regulatory Notice

April 9, 2019

Regulatory Notice 19-11
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Rule Filing

April 8, 2019

SR-FINRA-2019-009
Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
Rule Filing

April 5, 2019

SR-FINRA-2019-010
Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Regulatory Notice

April 5, 2019

Regulatory Notice 19-10
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
Special Notice

April 3, 2019

Special Notice – 4/3/19
2019 Involvement and Election Process Overview
Information Notice

April 3, 2019

Information Notice – 4/3/19
New Rate for Fees Paid Under Section 31 of the Exchange Act
Investor Alert

April 3, 2019

Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media
TRACE

Technical Notice

April 2, 2019

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