| Latest Selected Updates |
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Notices |
25-16 |
2025-11-18 |
FINRA Adopts Amendments to the Arbitration Codes to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process |
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Notices |
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2025-11-17 |
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving |
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Notices |
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2025-11-14 |
SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports |
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Notices |
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2025-11-13 |
FINRA Adopts Amendments to Extend the Trade Reporting Facilities Operating Hours |
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Notices |
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2025-11-10 |
2026 and First Quarter of 2027 Report Filing Due Dates |
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Notices |
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2025-11-07 |
2026 Extensions of Time Filing Schedule |
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News Releases |
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2025-11-03 |
FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment |
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Notices |
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2025-10-30 |
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2026 |
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Notices |
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2025-10-21 |
FINRA Reminds Firms That NSCC Has Modified the ACATS Transfer Process |
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Notices |
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2025-10-20 |
Notice of FINRA Regional Committee Elections and Mailing of Ballots |
