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News + Insights - FINRA Notices

Monday, January 4 2021

Regulatory Notice 21-01

Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in... [...]
Thursday, December 24 2020

Regulatory Notice 20-43

Summary In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in... [...]
Wednesday, December 16 2020

Regulatory Notice 20-42

Summary In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm... [...]
Tuesday, December 15 2020

Election Notice – 12/15/20

Executive Summary FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC), and the National Adjudicatory Council (NAC). Additionally, at its December meeting,... [...]
Wednesday, December 2 2020

Regulatory Notice 20-41

Summary FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same... [...]
Tuesday, December 1 2020

Information Notice – 12/1/20

Summary FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210... [...]