Compliance Advisers, Inc

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Welcome to the Compliance Advisers. Please contact us to become a Member.

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FINRA Notices

Special Notice – 4/19/24
SummaryFINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
Trade Reporting Notice 3/22/24
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits […]
Regulatory Notice 24-08
SummaryFINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe […]
Regulatory Notice 24-07
SummaryIn February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB).

SEC Press Releases

SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a variety of…
SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to…
SEC Charges Five Investment Advisers for Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. The five…

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IA’s: 2022 Annual Rule 206(4)-7 Reviews February 7, 2022

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