Regulatory AlertsEmail alerts for Financial Industry Regulatory Authority (US Federal)
New circulars, rules and guidance — a digest in your inbox, same day.
2026-07-24
FINRA Requests Comment on Modernizing FINRA’s Best Execution Guidance
US Federal
Financial Industry Regulatory Authority
2026-07-09
FINRA Requests Comment on Proposed Changes to Modernize Rule 2210
US Federal
Financial Industry Regulatory Authority
2026-07-07
FINRA Regulatory Notice 26-13: Amendment to Rule 3210 Regarding Trump Accounts
US Federal
Financial Industry Regulatory Authority
2026-06-29
Daily Customer and Broker-Dealer Proprietary Account (PAB) Reserve Computations
US Federal
Financial Industry Regulatory Authority
2026-06-17
New Rule 605 Designated Participant Authorization Form
US Federal
Financial Industry Regulatory Authority
2026-06-09
Guidance Regarding the Application of FINRA Rules in Relation to the SEC No-Action Letter on Personal Services Entities
US Federal
Financial Industry Regulatory Authority
2026-06-08
Notice of Annual Meeting of FINRA Firms and Election Proxy
US Federal
Financial Industry Regulatory Authority
2026-05-19
FINRA Announces Publication of Interpretations and Investor Education Materials Relating to New Intraday Margin Standards
US Federal
Financial Industry Regulatory Authority
2026-04-20
FINRA Adopts New Intraday Margin Standards to Replace Day Trading Margin Requirements
US Federal
Financial Industry Regulatory Authority
2026-04-06
FINRA Board of Governors Upcoming Election: Nominee Announcement and Petition Period Start Date
US Federal
Financial Industry Regulatory Authority
2026-03-23
FINRA Enhances New Member Application (Form NMA)
US Federal
Financial Industry Regulatory Authority
2026-03-18
2026 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
US Federal
Financial Industry Regulatory Authority
2026-03-17
New Rate for Fees Paid Under Section 31 of the Exchange Act
US Federal
Financial Industry Regulatory Authority
2026-03-17
2026 Involvement and Election Process Overview
US Federal
Financial Industry Regulatory Authority
2026-03-09
FINRA Adopts Limited Exception for Overnight Equity Trade Reporting Prior to 8:00 a.m. ET
US Federal
Financial Industry Regulatory Authority
2026-03-02
FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes
US Federal
Financial Industry Regulatory Authority
2026-02-27
FINRA Adopts Amendments to Rule 3220 (Influencing or Rewarding Employees of Others)
US Federal
Financial Industry Regulatory Authority
2026-02-23
FINRA Adopts Amendments to the Capital Acquisition Broker Rules
US Federal
Financial Industry Regulatory Authority
2026-02-06
Guidance on Negative Consent for Bulk Transfer or Assignment of Customer Accounts
US Federal
Financial Industry Regulatory Authority
2026-02-06
Guidance on Negative Consent for Bulk Transfer or Assignment of Customer Accounts
US Federal
Financial Industry Regulatory Authority
2026-01-14
Upcoming Trade Reporting Enhancements for Fractional Share Transactions
US Federal
Financial Industry Regulatory Authority
2026-01-08
FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud
US Federal
Financial Industry Regulatory Authority
2025-12-29
FINRA Amends Annual Reports Extension of Time Request Policy
US Federal
Financial Industry Regulatory Authority
2025-12-16
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
US Federal
Financial Industry Regulatory Authority
2025-12-09
FINRA Amends Arbitration Codes to Accelerate Proceedings for Parties Aged 70 or Older or with Serious Health Conditions
US Federal
Financial Industry Regulatory Authority
2025-12-04
FINRA Amends Rule 6730 to Allow Streamlined Allocation Reporting for BD/IAs
US Federal
Financial Industry Regulatory Authority
2025-11-18
FINRA Amends Arbitration Codes for Arbitrator List Selection and Procedural Changes
US Federal
Financial Industry Regulatory Authority
2025-11-17
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
US Federal
Financial Industry Regulatory Authority
2025-11-14
SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
US Federal
Financial Industry Regulatory Authority
2025-11-13
FINRA Adopts Amendments to Extend the Trade Reporting Facilities Operating Hours
US Federal
Financial Industry Regulatory Authority