Recent FINRA Notices

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

Full Article

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

Full Article

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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April 09, 2019

FINRA Announces Update of the Interpretations of Financial and Operational Rules

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April 05, 2019

FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

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April 03, 2019

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

Full Article

April 03, 2019

2019 Involvement and Election Process Overview

Full Article

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

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