Aggregated News From Investment Management Regulators


FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program

Summary FINRA has amended Rule 1240.

Report From FINRA Board of Governors Meeting – March 2023

Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies WASHINGTON—FINRA’s Board of Governors met on

FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank

Summary FINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).

FINRA Fines Webull $3 Million for Options Customer Approval Violations

Firm Also Failed to Maintain Supervisory System, Report Customer Complaints WASHINGTON—FINRA announced today that it has fined

2023 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Stand

New Rate for Fees Paid Under Section 31 of the Exchange Act

Summary Effective February 27, 2023, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate o

FINRA Announces Departure of Enforcement Head Jessica Hopper

WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership o

FINRA Amends FINRA Rule 2231

Summary FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to: compliance with Rule 4311 (Carrying Agreements); the transmiss

Proposed Rule Change to Amend the Codes of Arbitration Procedure

Financial Industry Regulatory Authority, Inc.

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings WASHINGTON—FINRA published today its

Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

Summary FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice fi

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States
Email: [email protected]

Recent Articles

Volume 46, Issue 12

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Tasman Resources and Eden Innovations writes down intellectual property assets following ASIC review

Tasman Resources Limited (Tasman) and Eden Innovations Limited (Eden) have written down their intellectual property assets by $9.3 million in their interim financial reports...

Opening Statement by Vasileios Madouros, Deputy Governor, Monetary and Financial Stability at the Oireachtas Select Committee on Budgetary Oversight

Good evening Chair and Members of the Committee.  My name is Vasileios Madouros, I am the Deputy Governor for Monetary and Financial Stability at...

Circular CSSF 20/751 as amended by Circular CSSF 23/830

Adoption of the Guidelines of the European Banking Authority on management of non-performing and forborne exposures (EBA/GL/2018/06), disclosure of non-performing and forborne exposures (EBA/GL/2018/10) PDF...

Carbon market: opportunities and advantages in Argentina

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...

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