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December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice 6/17/26
    SummaryFINRA is introducing a new electronic Rule 605 Designated Participant Authorization Form for members to obtain unique reporter identification codes and provide hyperlinks to their Rule 605 execution quality reports. The new form is available beginning June 17, 2026, through the FINRA Gateway, in advance of upcoming amendments to Rule 605 of SEC Regulation NMS […]
  • Regulatory Notice 26-12
    SummaryIn November 2025, Securities and Exchange Commission (SEC) staff issued a no-action letter permitting registered representative-owned personal services entities to receive transaction-based compensation without broker-dealer registration, subject to conditions. This Notice provides guidance regarding the manner in which FINRA rules apply in relation to the no-action letter. This Notice does not apply new requirements beyond the no-action letter requirements.
  • Election Notice - 6/8/2026
    SummaryFINRA will conduct its Annual Meeting of firms on Monday, July 13, 2026, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1
  • Regulatory Notice 26-11
    FINRA is publishing updated interpretations of its margin rule (FINRA Rule 4210) to provide guidance to members in implementing the new intraday margin standards. Correspondingly, FINRA is deleting all interpretations relating to the former day trading margin requirements, which the new intraday margin standards have replaced in their entirety. Also, FINRA has made available educational […]

RSS SEC Press Releases

  • SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
    The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and…
  • SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
    The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the…
  • SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
    The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment…

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Recent Posts

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

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