Recent FINRA Notices

March 20, 2019

FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)

Full Article

March 19, 2019

Guidance on FOCUS Reporting for Operating Leases

Full Article

March 01, 2019

FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines

Full Article

February 25, 2019

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information

Full Article

February 13, 2019

FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms

Full Article

February 12, 2019

Summary In June 2016, the SEC approved FINRA’s rule change (referred to as the “rule change”) amending FINRA Rule 4210 to establish margin requirements for Covered Agency Transactions. FINRA is extending, to March 25, 2020, the effective date of the requirements pursuant to the rule change that otherwise would have become effective on March 25, 2019. Questions regarding this Notice should be directed to:

Full Article

January 28, 2019

Summary Over the past several years, FINRA has found that some firms have failed to reasonably supervise brokers’ recommendations of multi-share class products. FINRA has raised concerns specifically regarding firms’ supervision of share-class recommendations to customers of 529 savings plans (“529 plans”).

Full Article

January 25, 2019

FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting

Full Article

January 22, 2019

TRACE Reporting of OTC Transactions in Listed Bonds

Full Article

January 17, 2019

October 2018 Supplement to the Options Disclosure Document

Full Article

January 09, 2019

U.S. Treasury Security Auction Awards

Full Article

January 08, 2019

FINRA Updates Supplemental Statement of Income

Full Article

January 02, 2019

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

Full Article

December 21, 2018

2019 Holiday Margin Extensions Schedule

Full Article

December 21, 2018

Executive Summary FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and Regional Committees.

Full Article

December 18, 2018

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Full Article

December 17, 2018

Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays

Full Article

December 10, 2018

SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders

Full Article

December 04, 2018

Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning

Full Article

November 20, 2018

FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving

Full Article

November 16, 2018

2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

Full Article

November 05, 2018

Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements

Full Article

October 31, 2018

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019

Full Article

October 29, 2018

Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council

Full Article

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Information Notice – 2/13/19 already exists.

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Trade Reporting Notice – 1/22/19 already exists.

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Information Notice – 1/17/19 already exists.

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