FINRA Announces Advance Examination Notifications for 2027: What Broker-Dealers Should Know
As part of its ongoing FINRA Forward initiative, the Financial Industry Regulatory Authority (FINRA) has announced that eligible member firms…
SEC Approves FINRA Rule 3290: New Outside Activities Requirements
SEC Approves FINRA Rule 3290Download The U.S. Securities and Exchange Commission (“SEC”) has approved the Financial Industry Regulatory Authority (“FINRA”)…
FINRA TRACE Rule Amendments Aim to Improve Trade Reporting Transparency
Regulatory-Notice-26-16Download FINRA has announced implementation details for amendments to its Trade Reporting and Compliance Engine (TRACE) rules that will change…
SEC Proposes Regulation Crypto Assets: What Firms Should Know
33-11434Download The U.S. Securities and Exchange Commission (SEC) has proposed a significant new regulatory framework for certain crypto asset offerings…
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…