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…
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…