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December 8, 2009 karen

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RSS FINRA Notices

  • Election Notice - 4/6/2026
    The annual meeting of FINRA firms will take place on or about July 13, 2026, 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 […]
  • Regulatory Notice 26-09
    In furtherance of the FINRA Forward initiative to support member compliance, FINRA has significantly enhanced Form NMA with improved navigation and document upload capabilities, integrated guidance tools, standardized response fields and clearer questions.
  • Regulatory Notice 26-08
    The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.
  • Information Notice 3/17/26
    SummaryEffective April 4, 2026, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $0.00 per million dollars in transactions to a new rate of $20.60 per million dollars in transactions.Finance-related questions should be directed to:

RSS SEC Press Releases

  • SEC Appoints David Woodcock as Director of the Division of Enforcement
    The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn…
  • SEC Announces Enforcement Results for Fiscal Year 2025
    The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission…
  • SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
    The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9 a.m. to 3…

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

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