FINRA Introduces Identity Verification Requirement Through ID.me for Entitlement Platform Access
The Financial Industry Regulatory Authority (FINRA) will introduce a new identity verification requirement through ID.me beginning May 11, 2026. This…
FINRA Regulatory Notice 25-17: Streamlined TRACE Allocation Reporting for BD/IAs
Regulatory-Notice-25-17Download The Financial Industry Regulatory Authority (FINRA) has adopted amendments to Rule 6730 (Transaction Reporting) through the new Regulatory Notice…
SEC Approves Enhanced Regulatory Framework for Capital Acquisition Brokers
The SEC has approved FINRA’s proposed rule changes to enhance the regulatory framework for Capital Acquisition Brokers (CABs). These amendments…
FINRA Gifts Rule Update: SEC Approves Increase to $300 Gift Limit
The SEC has approved a significant update to FINRA Rule 3220 (the Gifts Rule), increasing the annual gift limit from…
FINRA Issues New Guidance on the Use of Negative Consent for Bulk Account Transfers
Regulatory-Notice-26-03Download The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 26-03, providing updated guidance on the use of negative…
FINRA Board of Governors Approves Key Rule Proposals Impacting Member Firms
The Financial Industry Regulatory Authority (FINRA) Board of Governors recently approved three significant rule proposals that reflect continued efforts to…