FINRA Enhances New Member Application (Form NMA) to Streamline Membership Process
Regulatory-Notice-26-09Download The Financial Industry Regulatory Authority (FINRA) has announced enhancements to the New Member Application (Form NMA) through Regulatory Notice…
FINRA Launches Financial Intelligence Fusion Center (FIFC) to Combat Cybersecurity and Fraud Threats
The Financial Industry Regulatory Authority (FINRA) is launching the Financial Intelligence Fusion Center (FIFC), a new initiative designed to help…
FINRA Announces 2025 Regulatory Fee Rebate
The Financial Industry Regulatory Authority (FINRA) has announced that its Board of Governors approved a $100 million rebate of 2025…
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…