FINRA Proposes Rule 3290 to Simplify Outside Activities and Private Securities Transaction Requirements
FINRA has filed a proposed rule change with the SEC that would significantly modernize how firms oversee outside business activities…
What Is the Annual Report Extension Policy?
Under SEA Rule 17a-5(d), broker-dealers are required to file audited annual financial reports with FINRA no later than 60 calendar…
FINRA Targeted Exam: Small‑Capitalization Offerings (October 2025)
In October 2025, the Financial Industry Regulatory Authority (FINRA) initiated a targeted examination letter focused on member firms’ practices involving…
FINRA Information Notice (11/14/2025): Preparing for Electronic Filing of FOCUS & Annual Reports
Information-Notice-20251114Download FINRA’s latest Information Notice highlights recent SEC amendments under SEA Rule 17a-5 that require broker-dealers to transition fully to…
FINRA Regulatory Notice 25-09: Streamlining Disclosure Delivery Through FinPro Gateway
regulatory-notice-25-09Download FINRA has released Regulatory Notice 25-09 announcing new system enhancements that give member firms an optional, modernized way to…
FINRA Requests Comment on Capital Formation Modernization – Regulatory Notice 25-06
regulatory-notice-25-06Download FINRA is seeking industry input to help modernize its rules, guidance, and operational processes related to capital formation. Regulatory…