News + Insights - FINRA Notices

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Wednesday, March 29 2023

Special Notice – 3/29/23

Summary FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market... [...]
Tuesday, March 28 2023

Regulatory Notice 23-06

Summary To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted... [...]
Monday, March 20 2023

Regulatory Notice 23-05

Summary FINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and subject matter being tested. [...]
Wednesday, March 15 2023

Information Notice – 3/15/23

Summary FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity... [...]
Tuesday, March 14 2023

Regulatory Notice 23-04

Summary FINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature). Questions concerning this Notice should... [...]
Tuesday, February 28 2023

Regulatory Notice 23-03

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... [...]