What's New on FINRA.org

Technical Notice
TRACE Depository Institution Reporting Final User Acceptance Testing
August 11, 2022
Election Notice
Election Notice - 8/09/22
Special Election to Fill a FINRA Large Firm Governor Vacancy
August 9, 2022
Podcast
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
August 9, 2022
Regulatory Notice
Regulatory Notice 22-19
Enhancement to ACATS “Receiver Delete” Functionality for Alternative Investments
August 8, 2022
Technical Notice
Update - FINRA Data Feeds Protocol and Retransmission Changes
August 8, 2022
Rule Filing
SR-FINRA-2022-025
Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
August 5, 2022
Technical Notice
FINRA OTC Reporting Facility (ORF) NTF System Availability
August 4, 2022
Regulatory Notice
Regulatory Notice 22-18
FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
August 3, 2022
Request for Comment
Regulatory Notice 22-17
FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
August 2, 2022
Technical Notice
Update OTC Transparency Data Issue from August 1, 2022
August 2, 2022
Technical Notice
TRACE Depository Institution Reporting
August 2, 2022
Technical Notice
OTC Transparency Data
August 1, 2022
Blog Post
TRACE, Market Research and Policy Making
August 1, 2022
Rule Filing
SR-FINRA-2022-023
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
July 29, 2022
Rule Filing
SR-FINRA-2022-024
Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information
July 29, 2022
Rule Filing
SR-FINRA-2022-022
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
July 28, 2022
Rule Filing
SR-FINRA-2022-021
Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
July 28, 2022
Technical Notice
TRACE Depository Institution Reporting User Acceptance Testing
July 28, 2022
Speech / Testimony
Statement of Gerri Walsh, President, FINRA Investor Education Foundation; and Senior Vice President, FINRA Investor Education Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs
July 27, 2022
Podcast
Financial Capability Study: Financial Wellbeing During a Global Pandemic
July 26, 2022
Technical Notice
Reminder - TRACE Depository Institution Reporting
July 22, 2022
Regulatory Notice
Regulatory Notice 22-16
FINRA Amends Its Rules Regarding Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
July 22, 2022
News Release
AARP, FINRA Foundation Team Up to Address Victim Blaming in Financial Fraud
July 21, 2022
Election Notice
Election Notice – 7/20/22
Notice of Annual Meeting of FINRA Firms and Election Proxy
July 20, 2022
Blog Post
FINRA’s Augmented Reality Web and Mobile App Featured
July 19, 2022