Tag: FINRA

May 17
SR-FINRA-2022-011

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities…

May 16
Election Notice – 05/16/22

Summary The annual meeting of FINRA firms will take place on or about Friday, August…

May 06
Information Notice – 05/06/22

Notice Comments FINRA is advising member firms that the Options Clearing Corporation…

Apr 23
Special Notice – 4/22/22

Summary FINRA conducts annual elections to fill positions on the Small Firm Advisory…

Apr 21
Information Notice – 4/21/22

Notice Comments Summary Effective May 14, 2022, the Section 31 fee rate applicable to…

Apr 19
Regulatory Notice 22-11

Notice Comments Summary Recently, FINRA took enforcement action against several firms…

Apr 19
Information Notice 4/19/22

Notice Comments Summary This Notice shares key operational changes in FINRA’s…

Mar 31
Special Notice – 3/31/22

Notice Comments Summary FINRA has multiple committees that facilitate effective…

Mar 30
SR-FINRA-2022-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities…

Mar 29
SR-FINRA-2022-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities…