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December 8, 2009 karen

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RSS feed: FINRA Notices FINRA Notices

  • 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 its Regional Committees. The South and West regions each have six vacancies, and the Midwest, North and New York regions each have four vacancies. Eligible individuals interested in serving on a Regional Committee must submit a Candidate Profile Form to FINRA's Corporate Secretary by November 19, 2026. 
  • 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 […]
  • Regulatory Notice 26-18
    SummaryFINRA has adopted amendments to Rule 1210.06 (Waiting Periods for Retaking a Failed Examination) that shorten the retake waiting periods for FINRA qualification examinations from 30 calendar days to 15 calendar days after the first and second failed attempts, and from 180 calendar days to 60 calendar days after the third and any subsequent failed […]

RSS feed: SEC Press Releases SEC Press Releases

  • 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…
  • SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence
    The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…

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

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