Speak To A Live Person:
888.302.4594

FINRA Notices

Let Red Oak help take the mystery out of compliance. Reduce your risk and stay up to date with our free compliance alerts.
 

Back to Compliance Alerts

FINRA Notices RSS Feed:

SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Posted: September 14, 2018, 4:00 am

Summary

Posted: September 13, 2018, 4:00 am
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
Posted: September 12, 2018, 4:00 am
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Posted: September 11, 2018, 4:00 am
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Posted: September 6, 2018, 4:00 am
Restructured Qualification Examinations and Related Examination Fees
Posted: September 6, 2018, 4:00 am

Summary

The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees (formerly known as District Committees). The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes. Regional Committee members also may serve on disciplinary panels in accordance with FINRA rules.

Posted: August 29, 2018, 4:00 am

Summary

The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.

Posted: August 29, 2018, 4:00 am

Summary

FINRA is issuing this Notice to remind Alternative Trading Systems (ATSs) of their supervision obligations. As registered broker-dealers and FINRA members, ATSs—like other broker-dealer trading platforms—are required to maintain supervisory systems that are reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules, including, for example, rules on disruptive or manipulative quoting and trading activity.

Questions regarding this Notice should be directed to:

Posted: August 13, 2018, 4:00 am
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Posted: August 13, 2018, 4:00 am
 

Get Started