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News + Insights - FINRA Notices

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Friday, March 22 2024

Trade Reporting Notice 3/22/24

Summary FINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting... [...]
Tuesday, March 19 2024

Regulatory Notice 24-08

Summary FINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that... [...]
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... [...]
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