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FINRA Notices

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Summary

Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of information—confidential or otherwise—should use caution and verify the identity of the caller or sender before providing any information or responding to an email.

Posted: July 13, 2018, 4:00 am
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Posted: July 6, 2018, 4:00 am
Notice of Special Meeting of Large Firms and Proxy
Posted: June 11, 2018, 4:00 am
Upcoming FINRA Board of Governors Election
Posted: May 25, 2018, 4:00 am
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
 

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