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December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice - 6/26/25
    Effective July 1, 2025, Prospective CAT Cost Recovery Fee 2025-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and Prospective CAT Cost Recovery Fee 2025-2 will be in effect.
  • Election Notice - 5/15/2025
    The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or […]
  • Special Notice – 5/15/25
    SummaryFINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
  • Information Notice - 4/24/25
    SummaryEffective May 14, 2025, 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 $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions.Finance-related questions should be directed to Amanda Rath, Associate Director, […]

RSS SEC Press Releases

  • SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme
    The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
  • SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A
    The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the public…
  • SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
    The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the…

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  • IA’s: 2024 Annual Rule 206(4)-7 Reviews January 16, 2025

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