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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 25-19
    SummaryFINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making extension requests. In connection with this update, the related interpretation to SEA Rule 17a-5(m)(1) in the Interpretations of the SEC’s Financial and Operational Rules is rescinded.
  • Trade Reporting Notice 1/14/26
    SummaryFINRA is reminding firms of upcoming updates to its equity trade reporting guidance in connection with 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 after the […]
  • Regulatory Notice 26-02
    SummaryFINRA seeks comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation. Based on comments on Regulatory Notice 25-07, FINRA proposes amendments to FINRA Rules 4512 (Customer Account Information) and 2165 (Financial Exploitation of Specified Adults) and proposed Rule 2166 (Temporary Delays for Suspected Fraud).The rule text […]
  • Regulatory Notice 26-01
    SummaryFINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions.In November, FINRA issued Preliminary Statements announcing estimated renewal fees. Final Statements are now available to confirm or reconcile actual renewal fees owed as of January […]

RSS SEC Press Releases

  • J. Russell McGranahan Named SEC General Counsel
    The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the…
  • Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
    The Securities and Exchange Commission today announced that Paul H. Tzur and David M. Morrell have been named as Deputy Directors of the Division of Enforcement. Mr. Tzur joined the Commission on January 6, 2026, as the Deputy Director overseeing the…
  • SEC to Host Hybrid Event on Regulation S-P for Small Firms
    The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…

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

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