Tag: FINRA

Sep 15
SR-FINRA-2022-019

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

Sep 06
Election Notice – 9/6/2022

Notice Comments Summary The purpose of this Notice is to notify member firms of the…

Sep 06
Election Notice – 9/6/22

Notice Comments Summary The purpose of this Notice is to inform small FINRA member…

Aug 23
Election Notice – 8/22/2022

Summary The purpose of this Election Notice is to notify members of an upcoming…

Aug 18
SR-FINRA-2022-025

Financial Industry Regulatory Authority, Inc. (” FINRA”) is submitting…

Aug 10
Election Notice – 8/09/22

Summary FINRA will conduct a special meeting of large firm members on or about October…

Aug 09
Regulatory Notice 22-19

Notice Comments Summary The NSCC1 administers ACATS, a system that automates and…

Aug 04
Regulatory Notice 22-18

Notice Comments Summary FINRA has received an increasing number of reports regarding…

Aug 04
Regulatory Notice 22-18

Notice Comments Summary FINRA has received an increasing number of reports regarding…

Aug 03
Regulatory Notice 22-17

Summary FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the…