| Latest Selected Updates |
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Notices |
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2025-12-16 |
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments |
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News Releases |
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2025-12-09 |
FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance |
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Notices |
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2025-12-09 |
FINRA Adopts Amendments to the Arbitration Codes to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age or Health Condition |
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Notices |
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2025-12-04 |
FINRA Adopts Amendments to Rule 6730 (Transaction Reporting) to Streamline Allocation Reporting for BD/IAs |
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News Releases |
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2025-12-04 |
New FINRA Foundation Research Examines Shifting Investor Behaviors, Preferences and Attitudes |
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News Releases |
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2025-12-03 |
FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures |
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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 |
