Events listed in [FINRA] Financial Industry Regulatory Authority

Regulatory Notice 23-21

ID 26520
On December 22, 2023, the Financial Industry Regulatory Authority (FINRA) issued new Regulatory Notice 23-21 in relation to broker-dealers‘ obligations under – SEA Rule 15c3-1 on net capital requirements of brokers or dealers; – SEC Rule 17a-3 on recordkeeping requirements of certain exchange members, brokers, and dealers as regards account and book records, securities transactions, and various other activities; and – SEC Rule 17a-5 ...

Report From FINRA Board of Governors Meeting – December 2023

ID 26307
The Financial Industry Regulatory Authority (FINRA) has published a news release to briefly inform of the results of its latest Board of Governors meeting. While most information appears to be rather non-relevant, there are two decisions of the Board we would like to make aware of simply to stay up-to-date. Specifically, the Board will submit to the Securities and Exchange Commission (SEC) for approval ...

Regulatory Notice 23-20

ID 26090
The Financial Industry Regulatory Authority (FINRA) has issued a new Regulatory Notice (23-20) to inform of available resources and guidance for broker-dealers and investment advisers in complying with the Securities and Exchange Commission’s Regulation Best Interest (Reg BI) which requires broker-dealers to act in the best interest of their clients when recommending any particular investments or investment strategies. Specifically, under Reg BI, broker-dealers are ...

SR-FINRA-2023-017

ID 26003
On November 29, 2023, the Financial Industry Regulatory Authority, FINRA, announced on its website that **it has filed with the Securities and Exchange Commission (SEC) proposed rule changes for immediate effectiveness to make conforming adjustments to its rules in relation to the SEC’s final regulation (EventID 19797) to shorten the standard settlement cycle for most broker-dealer securities transactions from two business days (T+2) to ...

Information Notice 11/20/23

ID 25874
The Financial Industry Regulatory Authority (FINRA) has published an information notice to remind member firms that – due to the early closing of the US option exchanges on Friday, November 24, 2023, the day following Thanksgiving – **holders of options expiring that day must make their final decision as to whether or not they intend to exercise their options by 2:30 p.m. Eastern Time ...

SR-FINRA-2023-016

ID 25801
On November 14, 2023, the **Financial Industry Regulatory Authority (FINRA) announced on its website an upcoming consultation on proposed amendments to FINRA Rule 2210 relating to „communications“ (e.g. sales literature or research reports) to enable FINRA member firms to include projected performance and targeted returns in institutional communications (communications to institutional investors) and communications exclusively distributed to qualified purchasers ( ...

Regulatory Notice 23-19

ID 25730
In view of the upcoming changes to 17 CFR Part 240, § 240.15b9-1 under the Securities Exchange Act of 1934 on registration requirements of broker-dealers with the Financial Industry Regulatory Authority (FINRA) and exemption therefrom as initiated by the Securities and Exchange Commission in August this year (EventID 22724), FINRA has now adopted final **Regulatory Notice 23-19 on rule changes to „establish a Short-Form ...

SR-FINRA-2023-015

ID 25656
The Financial Industry Regulatory Authority (FINRA) has published a draft on proposed rule changes to FINRA Rule 6710, 6750 and 7730 in connection with the dissemination of „On-the-Run Nominal Coupon“ securities transactions and the adoption of a corresponding pricing policy. The draft has been forwarded to the Securities and Exchange Commission for approval. Specifically, FINRA seeks to make available on the day of an ...

Information Notice 11/2/23

ID 25617
The Financial Industry Regulatory Authority (FINRA) has published an information notice to remind member firms of the changes to its continuing education (CE) Firm Element requirement which came into force on January 1, 2023. Specifically, the changes include(d): – the extension of the CE Firm Element requirement to all registered representatives, including those with „permissive registrations“, that is affiliated (legal) persons for which a ...

Information Notice 11/1/23

ID 25603
On November 1, 2023, the Financial Industry Regulatory Authority (FINRA) issued an information notice to remind firms of their obligation to file on time – the Annual Report, – the Financial and Operational Combined Uniform Single (FOCUS) Reports, – Form Custody, – the Supplemental Statement of Income (SSOI), – the Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS), – the Supplemental ...
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