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December 8, 2009 karen

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RSS FINRA Notices

  • 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, […]
  • Regulatory Notice 25-07
    Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly […]

RSS SEC Press Releases

  • SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
    The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025.  “I am delighted that Erik is coming back to…
  • SEC Names Kurt Hohl as Chief Accountant
    The Securities and Exchange Commission today announced that Kurt Hohl, with nearly 40 years of accounting and auditing experience, has been named Chief Accountant, effective July 7, 2025. Acting Chief Accountant Ryan Wolfe will return to his role as…
  • Brian Daly Named Director of Division of Investment Management
    The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8. Mr. Daly brings decades of experience serving in…

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

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