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Notices
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Last updated 19 days ago
Information Notice - 4/24/25
19 days ago
SummaryEffective May 14, 2025, the Section 31 fee rate applicable to specified...
Regulatory Notice 25-07
29 days ago
Advances in technology have transformed the workplace for members and their associated...
Regulatory Notice 25-06
about 2 months ago
SummaryA vibrant and efficient capital-raising process fosters business expansion, job creation, innovation...
Regulatory Notice 25-05
2 months ago
SummaryFINRA seeks comment on a proposed new rule to streamline and reduce...
Regulatory Notice 25-04
2 months ago
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws...
Regulatory Notice 25-03
2 months ago
SummaryIn February 2012, pursuant to an SEC order, FINRA established an accounting...
Regulatory Notice 25-02
4 months ago
SummaryFINRA recognizes that member firms and their personnel have been experiencing significant...
Election Notice - 1/10/2025
4 months ago
The purpose of this Election Notice is to notify FINRA large and...
Information Notice - 1/3/25
4 months ago
As announced by The Options Clearing Corporation (OCC) and the national options...
Regulatory Notice 25-01
4 months ago
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to...
Regulatory Notice 24-18
4 months ago
On occasion, the securities markets may unexpectedly close for business, for example...
Election Notice - 12/30/2024
4 months ago
SummaryFINRA recently held annual elections to fill vacancies on the Small Firm...