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News + Insights - FINRA Notices

 
Thursday, July 22 2021

Regulatory Notice 21-27

Executive Summary FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division... [...]
Thursday, July 15 2021

Regulatory Notice 21-26

Summary FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that... [...]
Thursday, July 8 2021

Regulatory Notice 21-25

Summary For the past several years, FINRA has encouraged firms to keep their risk monitoring analyst informed if the firm, or its associated persons or affiliates, engaged, or intended to... [...]
Tuesday, July 6 2021

Regulatory Notice 21-24

This Notice announces, effective immediately, clarifications of interpretations of the FINRA margin rule regarding minimum equity requirements in FINRA Rule 4210(b). Questions concerning this Notice should be directed to: [...]
Wednesday, June 30 2021

Special Notice – 6/30/21

Summary Over the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online... [...]
Wednesday, June 23 2021

Regulatory Notice 21-23

Summary FINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow,... [...]