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December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice 11/10/25
    SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2026 or the first quarter of 2027. FINRA reminds members that all such filings they submit […]
  • Information Notice - 11/7/25
    SummaryFINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2026, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the […]
  • Regulatory Notice 25-14
    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. The program operates through two key statements:
  • Information Notice - 10/21/25
    Summary The National Securities Clearing Corporation (NSCC) administers the Automated Customer Account Transfer Service (ACATS), a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm to another. The NSCC recently announced an amendment to NSCC Rule 50 (Automated Customer Account Transfer […]

RSS SEC Press Releases

  • SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
    The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…
  • SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
    The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director…
  • SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
    The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff…

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

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