FINRA Seeks Comment on Modernizing Best Execution Guidance: What Broker-Dealers Should Know
Regulatory-Notice-26-15Download FINRA is taking a fresh look at how its longstanding best execution guidance should apply in today’s rapidly changing…
FINRA Adopts Amendments to Streamline Capital Formation
SR-FINRA-2026-002-Approval-OrderDownload The Financial Industry Regulatory Authority (FINRA) has announced another milestone in its FINRA Forward initiative with the U.S. Securities…
FINRA Proposes Modernizing Rules for Communications With the Public
Regulatory-Notice-26-14Download The Financial Industry Regulatory Authority (FINRA) has published Regulatory Notice 26-14, requesting industry feedback on a proposal to modernize…
FINRA Reduces Waiting Periods for Retaking Qualification Exams
The Financial Industry Regulatory Authority (FINRA) has adopted a rule change that will significantly reduce the amount of time candidates…
FinCEN Updates Section 314(b) Guidance: What Financial Institutions Need to Know
The Financial Crimes Enforcement Network (FinCEN) has issued updated guidance on how financial institutions may share information under Section 314(b)…
FINRA’s 2026 Crypto Asset Information Request: What Member Firms Should Know
FINRA Continues Monitoring Crypto Asset Activity The Financial Industry Regulatory Authority (FINRA) has announced that it will publish its 2026…