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FINRA Notices

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Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Posted: May 18, 2018, 4:00 am

Summary

Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $23.10 per million dollars in transactions to a new rate of $13.00 per million dollars in transactions.

Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637.

Legal and interpretive questions should be directed to:

Posted: May 7, 2018, 4:00 am
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Posted: May 3, 2018, 4:00 am
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
Posted: May 3, 2018, 4:00 am
FINRA Revises the Sanction Guidelines
Posted: May 2, 2018, 4:00 am
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Posted: April 30, 2018, 4:00 am
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Posted: April 30, 2018, 4:00 am
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Posted: April 24, 2018, 4:00 am
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Posted: April 20, 2018, 4:00 am
Special Election to Fill a FINRA Large Firm Governor Vacancy
Posted: April 20, 2018, 4:00 am
 

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