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RSS feed: FINRA Notices FINRA Notices

  • Regulatory Notice 26-20
    SummaryFINRA has adopted new Rule 3290 (Outside Activities Requirements) to replace Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). Rule 3290 consolidates and streamlines the requirements governing registered persons’ outside activities and associated persons' outside securities transactions.The effective date of Rule 3290 is October 25, 2027.
  • Regulatory Notice 26-21
    Summary FINRA has adopted amendments to its rules and updated its interpretations to address binary options. The amendments to Rules 2220 (Options Communications), 2360 (Options), and 4210 (Margin Requirements) clarify the application of the rules to binary options, including options whose payout is based on the value of an issuer’s reported financial or operating metrics and […]
  • Regulatory Notice 26-19
    SummaryFINRA has amended Rules 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.1 These amendments simplify and clarify rule provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. 
  • Election Notice – 10/20/26
    SummaryFINRA is seeking candidates to fill vacancies on the Small Firm Advisory Committee (SFAC). Two seats will be up for election, one representing the Midwest region and one representing the South region. Eligible individuals from small firms1 interested in serving on the SFAC must submit a Candidate Profile Form to FINRA's Corporate Secretary via email by November […]

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Announces Fiscal Year 2027 Examination Priorities
    The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud,…
  • SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers
    The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…
  • SEC, FSA Hold Autumn Financial Regulatory Dialogue
    The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…

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

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