FINRA
13 articles
FINRA Rule Change Cuts Exam Retake Waiting Periods
FINRA Regulatory Notice 26-18 shortens waiting periods for retaking failed qualification exams to 15 or 60 days, effective January 19, 2027. Here is what changes.
FINRA rule change eases Rule 4515.01 review of adviser bulk orders
FINRA Regulatory Notice 26-17 drops principal approval for late allocations of investment adviser bulk orders under Rule 4515.01, effective November 16, 2026.
Broker-Dealer Registration Explained: Who Needs It and How
A plain-English guide to broker-dealer registration with the SEC, FINRA and the states: who must register, the steps, ongoing duties and common exemptions.
FINRA Regulatory Notice: NAC Small Firm Seat Election Opens
FINRA's 10/5/2026 Election Notice opens a 45-day petition period for candidates seeking one small firm seat on the National Adjudicatory Council.
FINRA news: Revere Securities fined $800,000 over small-cap IPOs
FINRA fined Revere Securities $800,000 over AML and supervisory failures tied to foreign-based small-cap IPOs and ordered a third-party compliance review.
What FINRA Does: A Plain-English Guide to the Regulator
What FINRA does as the self-regulatory organization for U.S. broker-dealers: rulemaking, examinations, enforcement, arbitration, and its link to the SEC.
FINRA rule change widens TRACE affiliate trade indicator
FINRA Regulatory Notice 26-16, issued August 26, 2026, extended the TRACE affiliate principal transaction indicator to bond trades with member affiliates.
FINRA news: UBS Financial fined $20 million for AML failures
FINRA fined UBS Financial Services $20 million for repeat anti-money laundering failures involving foreign currency wires and weak customer due diligence.
FINRA regulatory notice: CE deadline is December 31, 2026
FINRA's Aug. 3 information notice reminds registered persons and firms that 2026 Regulatory Element training is due by December 31 or they become CE inactive.
FINRA regulatory notice seeks input on best execution update
FINRA Regulatory Notice 26-15, issued July 24, 2026, asked how Rule 5310 best execution guidance should change if Reg NMS trade-through rules are rescinded.
FINRA proposes rewrite of broker-dealer rules on communications
FINRA Regulatory Notice 26-14, issued July 9, 2026, proposed risk-based approval of retail communications and new treatment of social media and AI content.
FINRA regulatory notice 26-12 sets rules for rep-owned PSEs
FINRA Regulatory Notice 26-12, issued June 9, 2026, explained how its rules apply when registered reps use personal services entities under SEC staff relief.
FINRA rule change scraps pattern day trader $25,000 minimum
FINRA Regulatory Notice 26-10, issued April 20, 2026, replaced pattern day trading margin rules and the $25,000 equity minimum with intraday margin standards.