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News + Insights - FINRA Notices

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Tuesday, February 6 2024

Regulatory Notice 24-03

Summary FINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel... [...]
Tuesday, January 23 2024

Regulatory Notice 24-02

FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision). [...]
Tuesday, January 2 2024

Regulatory Notice 24-01

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory... [...]
Friday, December 22 2023

Regulatory Notice 23-21

Summary Through its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial... [...]

Election Notice – 12/22/2023

Executive Summary FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December... [...]
Tuesday, December 5 2023

Regulatory Notice 23-20

This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI). [...]