Regulatory Alerts2025-04-14 | Regulatory Notice 25-07Added · Updated
FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
FINRA has extended the comment period for its regulatory notice on modernizing workplace rules to July 14, 2025. The notice seeks public input on evolving requirements for branch offices, registration processes, qualifications, customer information delivery, recordkeeping, and compensation arrangements. Specifically, FINRA requests feedback on updating the Supervision Rule, refining electronic delivery standards, addressing off-channel digital communications, and adapting to technologies such as generative AI. Comments must be submitted by the new deadline through FINRA's online form, email, or mail.