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News + Insights - FINRA Notices

Friday, April 22 2022

Special Notice – 4/22/22

Summary FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice... [...]
Thursday, April 21 2022

Information Notice – 4/21/22

Summary Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of... [...]
Tuesday, April 19 2022

Information Notice 4/19/22

Summary This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and... [...]

Regulatory Notice 22-11

Summary Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to... [...]
Thursday, March 31 2022

Special Notice – 3/31/22

Summary FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market... [...]