Financial Industry Regulatory Authority

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2026-08-26FINRA Expands the Scope of the TRACE Non-Member Affiliate—Principal Transaction Indicator
2026-08-03FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
2026-07-24FINRA Requests Comment on Modernizing FINRA’s Best Execution Guidance
2026-07-09FINRA Requests Comment on Proposed Changes to Modernize Rule 2210
2026-07-07FINRA Regulatory Notice 26-13: Amendment to Rule 3210 Regarding Trump Accounts
2026-06-29Daily Customer and Broker-Dealer Proprietary Account (PAB) Reserve Computations
2026-06-17New Rule 605 Designated Participant Authorization Form
2026-06-09Guidance Regarding the Application of FINRA Rules in Relation to the SEC No-Action Letter on Personal Services Entities
2026-06-08Notice of Annual Meeting of FINRA Firms and Election Proxy
2026-05-19FINRA Announces Publication of Interpretations and Investor Education Materials Relating to New Intraday Margin Standards
2026-04-20FINRA Adopts New Intraday Margin Standards to Replace Day Trading Margin Requirements
2026-04-06FINRA Board of Governors Upcoming Election: Nominee Announcement and Petition Period Start Date
2026-03-23FINRA Enhances New Member Application (Form NMA)
2026-03-182026 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
2026-03-172026 Involvement and Election Process Overview
2026-03-17New Rate for Fees Paid Under Section 31 of the Exchange Act
2026-03-09FINRA Adopts Limited Exception for Overnight Equity Trade Reporting Prior to 8:00 a.m. ET
2026-03-02FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes
2026-02-27FINRA Adopts Amendments to Rule 3220 (Influencing or Rewarding Employees of Others)
2026-02-23FINRA Adopts Amendments to the Capital Acquisition Broker Rules
2026-02-23FINRA Amends Capital Acquisition Broker Rules
2026-02-06Guidance on Negative Consent for Bulk Transfer or Assignment of Customer Accounts
2026-02-06Guidance on Negative Consent for Bulk Transfer or Assignment of Customer Accounts
2026-01-14Upcoming Trade Reporting Enhancements for Fractional Share Transactions
2026-01-08FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud
2025-12-29FINRA Amends Annual Reports Extension of Time Request Policy
2025-12-16FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
2025-12-09FINRA Amends Arbitration Codes to Accelerate Proceedings for Parties Aged 70 or Older or with Serious Health Conditions
2025-12-04FINRA Amends Rule 6730 to Allow Streamlined Allocation Reporting for BD/IAs
2025-11-18FINRA Amends Arbitration Codes for Arbitrator List Selection and Procedural Changes
2025-11-17FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
2025-11-14SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
2025-11-13FINRA Adopts Amendments to Extend the Trade Reporting Facilities Operating Hours
2025-11-102026 and First Quarter of 2027 Report Filing Due Dates
2025-11-072026 Extensions of Time Filing Schedule
2025-10-30FINRA E-Bill User Guide
2025-10-21FINRA Reminds Firms That NSCC Has Modified the ACATS Transfer Process
2025-10-20Notice of SFAC Election and Mailing of Ballots
2025-10-20Notice of FINRA Regional Committee Elections and Mailing of Ballots
2025-10-10FINRA Enhances Its Systems to Facilitate Member Compliance With Form U4 Recordkeeping Requirements
2025-10-07FINRA Announces Update of the Interpretations of Financial and Operational Rules
2025-09-25FINRA Reminds Members and Associated Persons, Wherever Located, of Their Obligation to Comply With Rule 8210
2025-09-25FINRA Sanction Guidelines March 2024
2025-09-17FINRA Amends Rules to Require Use of OHO Docket Portal for Filing and Service
2025-09-04Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
2025-09-04Call for Candidates for Upcoming FINRA Regional Committee Elections
2025-08-15FINRA Financial Professional Gateway User Guide
2025-08-14FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
2025-07-23FINRA Adopts Exemption From FINRA Rules 5130 and 5131 for Business Development Companies
2025-07-18FINRA Notice of Annual Meeting of Firms and Election Proxy
2025-06-26Completion of Prospective CAT Cost Recovery Fee 2025-1
2025-05-15FINRA Board of Governors Upcoming Election: Nominee Announcement and Petition Period Start Date
2025-05-152025 Involvement and Election Process Overview
2025-04-24New Rate for Fees Paid Under Section 31 of the Exchange Act
2025-04-14FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
2025-03-20FINRA Requests Comment on Modernizing Rules, Guidance, and Processes to Facilitate Capital Formation
2025-03-14FINRA Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities
2025-03-12FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
2025-03-042025 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
2025-01-27Guidance to Members Affected by California Wildfires
2025-01-10Notice of Election and Ballots for FINRA Large Firm and Small Firm NAC Member Seats
2025-01-03Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
2025-01-02Broker-Dealer and Investment Adviser Renewals for 2025
2024-12-31FINRA Regulatory Notice 24-18: Unexpected Close of Securities Markets
2024-12-30FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
2024-12-24Completion of Prospective CAT Cost Recovery Fee 2024-1
2024-12-24Completion of Historical CAT Cost Recovery Assessment 1
2024-12-20FINRA Requests Comment on Proposed Changes to Corporate Financing Rules
2024-12-17Amendments Relating to the Applicability of the Document Production Lists to Simplified Customer Arbitrations Administered Under Rule 12800
2024-12-13FINRA Updates the OTC Equities High Price Dissemination List
2024-12-13FINRA Updates the OTC Equities High Price Dissemination List
2024-12-022025 Extensions of Time Filing Schedule
2024-11-26FINRA Amends Arbitration Codes to Provide Customers Copies of Expungement Hearing Records
2024-11-21FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
2024-11-07FINRA Election Notice for National Adjudicatory Council Vacancies
2024-11-052025 and First Quarter of 2026 Report Filing Due Dates
2024-10-29FINRA Requests Comment on the Effectiveness and Efficiency of its Requirements Relating to Day Trading
2024-10-23FINRA Adopts Amendments to Rule 3240
2024-10-18Notice of SFAC Election and Mailing of Ballots
2024-10-18Notice of FINRA Regional Committee Elections and Mailing of Ballots
2024-09-03Call for Candidates for Upcoming FINRA Regional Committee Elections
2024-09-03Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
2024-08-19FINRA Announces Nomination Process to Fill Upcoming Vacancy on the National Adjudicatory Council
2024-08-12FINRA Notice of Annual Meeting of Firms and Election Proxy
2024-08-09Guide to Updated Interpretations of FINRA Rule 4210
2024-07-30FINRA Reminds Members of its Policy Prohibiting Members From Recording FINRA Calls and Meetings
2024-07-01FINRA Information Notice on the Role of the Cross-Market Regulation Working Group
2024-06-27FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence and Large Language Models
2024-06-18FINRA Notice Regarding June 2024 Options Disclosure Document
2024-06-14Nominees for Upcoming FINRA Board of Governors Election
2024-05-01New Rate for Fees Paid Under Section 31 of the Exchange Act
2024-04-192024 Election Process Overview
2024-03-22Advance Notice: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
2024-03-19FINRA Adopts Amendments Relating to Protected Option and Warrant Positions Under FINRA Rule 4210
2024-03-122024 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
2024-03-08FINRA Adopts Amendments to Enhance Post-Trade Transparency in the U.S. Treasury Securities Market
2024-02-27FINRA Encourages Engagement in Advisory Committees
2024-02-26FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
2024-02-26FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
2024-02-06Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
2024-01-23FINRA Announces Effective Dates for Rules 3110.18 and 3110.19 and End of Regulatory Relief on Forms U4 and BR
2024-01-02Broker-Dealer and Investment Adviser Renewals for 2024 Final Statements
2023-12-22FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
2023-12-22FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
2023-12-05FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
2023-11-20FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
2023-11-15Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
2023-11-09FINRA Adopts Short-Form Membership Application Process for Firms Required to Join Due to Amended SEA Rule 15b9-1
2023-11-02FINRA Reminds Firms of Continuing Education Firm Element Rule Changes
2023-11-012024 and First Quarter of 2025 Report Filing Due Dates
2023-10-31Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
2023-10-30FINRA Discontinues Collection of INSITE Data From Clearing Firms
2023-10-23Notice of FINRA Regional Committee Elections and Mailing of Ballots
2023-10-23Notice of SFAC Election and Mailing of Ballots
2023-10-18FINRA Adopts TAF Exemption for Proprietary Trading Firms
2023-09-25FINRA Election Notice for National Adjudicatory Council Vacancies
2023-09-11Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
2023-09-11Call for Candidates for Upcoming FINRA Regional Committee Elections
2023-09-05Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
2023-08-18Amendments to Covered Agency Transaction Requirements under FINRA Rule 4210; Announcement of Effective Date
2023-08-16FINRA Amends Rules to Allow Video Conference Hearings Before OHO and NAC
2023-08-11FINRA Adopts Amendments to the Codes of Arbitration Procedure to Modify the Process Relating to the Expungement of Customer Dispute Information
2023-08-07FINRA Notice of Annual Meeting of Firms and Election Proxy
2023-07-26FINRA Reminder of Continuing Education Regulatory Element Annual Deadline