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…
FINRA Regulatory Notice 25-04: Reimagining the Modern Workplace and Capital Formation Rules
Regulatory-Notice-25-04Download FINRA is seeking public comment on a sweeping modernization initiative that will reshape regulatory obligations for member firms and…
FINRA Regulatory Notice 25-05: Streamlining Outside Activity Rules for Associated Persons
Regulatory-Notice-25-05_1Download FINRA has released Regulatory Notice 25-05, inviting public comment on a proposal aimed at reducing compliance burdens tied to…
Key Compliance Priorities: Navigating the 2025 FINRA Regulatory Oversight Report
The 2025 FINRA Annual Regulatory Oversight Report identifies critical compliance priorities and emerging risks that broker-dealers, investment advisers, and financial…
Regulatory Notice 24-09: FINRA’s Guidance on Generative AI and Large Language Models
Published on June 27, 2024, FINRA Regulatory Notice 24-09 provides key reminders for member firms using Generative AI (Gen AI)…
June 2024 Options Disclosure Document
FINRA has informed member firms that the Options Clearing Corporation has released the June 2024 Options Disclosure Document (ODD). The…