Recent FINRA Notices

August 20, 2019

FINRA Announces Nomination Process to Fill Upcoming Firm Vacancies on the National Adjudicatory Council

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August 16, 2019

Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients

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August 09, 2019

Summary FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are appropriate to further address suspected financial exploitation and other circumstances of financial vulnerability for senior investors.

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August 07, 2019

SEC Adopts Best Interest Standard of Conduct

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July 26, 2019

FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE

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July 19, 2019

Notice of Annual Meeting of FINRA Firms and Proxy

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July 19, 2019

FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting

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July 18, 2019

Executive Summary FINRA will conduct its Annual Meeting of firms on Monday, August 19, 2019, at 9:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1

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July 18, 2019

FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets

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July 16, 2019

Trade Reporting Requirements Applicable to Step-Out Submissions

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July 09, 2019

Summary FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE). Questions concerning this Notice should be directed to:

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July 01, 2019

Summary Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products.  The new requirements for initial and maintenance margin are detailed below. In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio margining under FINRA Rule 4210(g).

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May 30, 2019

SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents

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May 24, 2019

Upcoming FINRA Board of Governors Election

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May 21, 2019

FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019

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May 06, 2019

FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations

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May 02, 2019

FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct

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April 29, 2019

Summary Several member firms have recently notified FINRA that they have been victims of imposter websites—which are sites designed to mimic a firm’s actual website with the end goal of committing financial fraud. This Notice outlines steps firms can take to monitor for imposter websites and what to do if an imposter website is found. Questions concerning this Notice should be directed to: David Kelley, Surveillance Director, at (816) 802-4729

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April 22, 2019

SEC Approves Amendments to FINRA Rule 4570

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April 19, 2019

FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing

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April 17, 2019

2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

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April 16, 2019

Summary The Securities and Exchange Commission (SEC) approved a proposed rule change to amend FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures for discretionary accounts and to clarify the scope of the rule. These changes become effective on May 6, 2019. The text of the amended rule is set forth in Attachment A. Questions concerning this Notice should be directed to: Afshin Atabaki, Associate General Counsel, Office of General Counsel, at (202) 728-8902.

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Trade Reporting Notice – 7/19/19 already exists.

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