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News + Insights - FINRA Notices

Get the latest industry and Red Oak news here.
 
Tuesday, March 12 2024

Regulatory Notice 24-07

Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards... [...]
Friday, March 8 2024

Regulatory Notice 24-06

Summary FINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and... [...]
Tuesday, February 27 2024

Special Notice – 2/27/24

Summary FINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with... [...]
Monday, February 26 2024

Regulatory Notice 24-05

Summary FINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required... [...]

Regulatory Notice 24-04

Summary FINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act... [...]
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... [...]