Speak To A Live Person: 888.302.4594 Request A Demo

News + Insights - FINRA Notices

 
Wednesday, October 20 2021

Regulatory Notice 21-37

Summary The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules. The revised Sanction Guidelines... [...]
Tuesday, October 19 2021

Election Notice – 10/19/21

Executive Summary The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to... [...]

Election Notice – 10/19/21

Executive Summary The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative... [...]
Friday, October 15 2021

Information Notice 10/15/21

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... [...]
Friday, October 8 2021

Regulatory Notice 21-36

Summary The Financial Crimes Enforcement Network (FinCEN) has issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism policy,1 which was mandated by the Anti-Money Laundering Act... [...]
Wednesday, October 6 2021

Regulatory Notice 21-35

Summary FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would... [...]