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News + Insights - FINRA Notices

Tuesday, September 6 2022

Election Notice – 9/6/2022

Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an... [...]
Monday, August 22 2022

Election Notice – 8/22/2022

Summary The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who... [...]
Tuesday, August 9 2022

Election Notice – 8/09/22

Summary FINRA will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on... [...]
Monday, August 8 2022

Regulatory Notice 22-19

Summary The NSCC1 administers ACATS, a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm... [...]
Wednesday, August 3 2022

Regulatory Notice 22-18

Summary FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors,... [...]