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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 26-14
    Summary FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).
  • Regulatory Notice 26-13
    SummaryFINRA has amended Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to add an exception from the rule’s requirements for accounts pursuant to Section 530A of the Internal Revenue Code (Trump Accounts). The rule change became effective on June 17, 2026.The text of the amendment is included as Attachment A.Questions concerning this Notice should […]
  • Information Notice 6/29/26
    SummaryFINRA is issuing this Notice to remind carrying members of the SEC’s compliance date for the required daily customer and PAB reserve computations, which will apply to members with average total credits equal to or greater than $500 million. This Notice also highlights guidance provided by the SEC Division of Trading and Markets staff (Division […]
  • Information Notice 6/17/26
    SummaryFINRA is introducing a new electronic Rule 605 Designated Participant Authorization Form for members to obtain unique reporter identification codes and provide hyperlinks to their Rule 605 execution quality reports. The new form is available beginning June 17, 2026, through the FINRA Gateway, in advance of upcoming amendments to Rule 605 of SEC Regulation NMS […]

RSS SEC Press Releases

  • SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
    The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine…
  • SEC Small Business Advisory Committee to Explore Modernizing Market Access
    The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs…
  • SEC Forms New Retail Fraud Working Group
    The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group…

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

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