Recent FINRA Notices

July 19, 2019

Notice of Annual Meeting of FINRA Firms and Proxy

Full Article

July 19, 2019

FINRA Reminds Firms of Their Obligations Regarding TRACE Reporting

Full Article

July 18, 2019

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

Full Article

July 16, 2019

Trade Reporting Requirements Applicable to Step-Out Submissions

Full Article

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:

Full Article

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).

Full Article

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

Full Article

May 24, 2019

Upcoming FINRA Board of Governors Election

Full Article

May 21, 2019

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

Full Article

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

Full Article

April 22, 2019

SEC Approves Amendments to FINRA Rule 4570

Full Article

April 19, 2019

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

Full Article

April 17, 2019

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

Full Article

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.

Full Article

April 09, 2019

FINRA Announces Update of the Interpretations of Financial and Operational Rules

Full Article

April 05, 2019

FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

Full Article

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

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