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News + Insights - FINRA Notices

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Election Notice – 9/11/23

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... [...]
Tuesday, September 5 2023

Regulatory Notice 23-15

Summary The Securities and Exchange Commission has amended Rule 15c6-1(a) under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business... [...]
Friday, August 18 2023

Regulatory Notice 23-14

Summary FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced  transactions, inclusive of adjustable rate... [...]
Wednesday, August 16 2023

Regulatory Notice 23-13

Summary FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments... [...]
Friday, August 11 2023

Regulatory Notice 23-12

Summary FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services... [...]