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December 8, 2009 karen

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RSS feed: FINRA Notices FINRA Notices

  • Election Notice - 10/5/2026
    The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC) and to announce the start of a 45-day petition period for those interested in becoming candidates.
  • Regulatory Notice 26-16
    Summary FINRA has amended its TRACE rules to expand the scope of the principal transaction indicator (previously applicable only to transactions with non-member affiliates) to also include transactions with member affiliates. This change will improve transparency in TRACE-eligible securities by streamlining dissemination of same-priced prints reflecting related transactions between a member and its member affiliate. The […]
  • Information Notice 8/3/26
    SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:
  • Regulatory Notice 26-15
    SummaryA broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
    The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
  • SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
    The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business…
  • SEC’s Division of Examinations Announces New Exam Handbook
    The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…

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  • REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities” May 18, 2026

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