What's New

TRACE

Technical Notice

June 26, 2019

Reminder – First CTCI Migration Production Test for TRACE and ORF
Investor Highlights

June 25, 2019

National Study by FINRA Foundation Finds Financial Prosperity Eludes Many Americans Despite Strong Economy
Rule Filing

June 20, 2019

SR-FINRA-2019-017
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
TRACE

Technical Notice

June 18, 2019

FINRA ADDS - Trade Journals Are Now Available
Monthly Disciplinary Actions

June 17, 2019

June 2019 Disciplinary Actions
ORF

Announcement

June 14, 2019

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
OTC Transparency

Technical Notice

June 10, 2019

OTC Transparency Data Issue (Resolved)
News Release

June 7, 2019

FINRA Foundation Honors Top Student Researchers for Advancing Understanding of Financial Capability in the United States
Investor Highlights

June 6, 2019

Atlantic Hurricane Season Is Here: Don't Let Disaster-Related Financial Fraud Wipe You Out
OTC Transparency

Technical Notice

June 3, 2019

OTC Transparency Data Issue
Regulatory Notice

May 30, 2019

Regulatory Notice 19-20
SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Interpretive Letter

May 30, 2019

Interpretive letter to Jonathan D. Wiley, The Forbes Securities Group
Podcast

May 28, 2019

Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
Investor Highlights

May 24, 2019

You Asked. We Answered. "What's a Reverse Stock Split?"
TRACE

Technical Notice

May 24, 2019

Update - TRACE for Treasuries User Guide
Election Notice

May 24, 2019

Election Notice – 5/24/19
Upcoming FINRA Board of Governors Election
Guidance

May 23, 2019

Senior Safe Act Fact Sheet
News Release

May 23, 2019

NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
Event

May 21, 2019

Compliance Outreach Program for Municipal Advisors
Rule Filing

May 21, 2019

SR-FINRA-2019-016
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Regulatory Notice

May 21, 2019

Regulatory Notice 19-19
FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
TRACE

Technical Notice

May 17, 2019

CTCI Migration Production Testing for TRACE AND ORF
OATS

Technical Notice

May 17, 2019

Reminder - Weekend Testing Opportunity – NYSE Pillar Migration – May 18
Monthly Disciplinary Actions

May 15, 2019

May 2019 Disciplinary Actions
Podcast

May 14, 2019

Beyond Hollywood, Part II: AML Priorities and Best Practices

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