Features |
2025 Renewals Program: Preliminary Statements Available Nov. 11 Members can now view key dates and deadlines for FINRA’s 2025 Renewals Program. Preliminary Statements will be available in E-Bill starting Nov. 11 for firms to view and print, and full payment of Preliminary Statement fees is due Dec. 9. Read the Notice for more information. Cybersecurity Alert About FortiManager Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability, according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA). Read the FINRA Cyber Alert. Mark Your Calendars for 2025 and Q1 2026 Report Filing Due Dates To assist members with financial reporting obligations, we announced due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody and supplemental FOCUS Report filings due in 2025 or the first quarter of 2026. As a reminder, these filings must be submitted electronically through FINRA Gateway. New Article in Series Celebrating 85 Years of FINRA History To commemorate our 85th anniversary, we are exploring each decade in FINRA’s history with a series of short articles, which we bring you on the first Wednesday of each month, about our enduring commitment to protecting investors and safeguarding market integrity. The third in the series, Overseeing Thousands to Protect Millions, features FINRA’s work in the 1950s regulating the growing number of registered representatives. Look for the fourth feature in the series, about FINRA in the 1960s, on Dec. 4.
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Guidance, Upcoming Deadlines, Effective Dates |
New FINRA Renewals Program: See the featured entry above regarding FINRA’s Renewals Program, including that Preliminary Statements will be available starting Nov. 11 and full payment is due by Dec. 9.
Reminders WebEFT Retirement: In response to feedback from members, FINRA has extended WebEFT access until April 30, 2025, for firms that have started their transition from WebEFT to APIs by this Nov. 15. The extension gives those firms additional opportunity to complete the required development to fully onboard to the API platform. WebEFT subscribers not migrating to APIs will no longer have access to WebEFT after Nov. 15, as previously announced. SFAC and Regional Committee Elections: FINRA mailed ballots to the executive representatives of firms that are eligible to vote for candidates to fill vacant seats on the Small Firm Advisory Committee (SFAC) and Regional Committees. Read the Election Notices in the links above for candidate profiles and voting instructions. Eligible firms have until Nov. 18 to cast their ballot. Comment on FINRA Requirements Governing Day Trading: FINRA is requesting comments from registered representatives, investors and other stakeholders on its requirements related to day trading. The request is part of FINRA's retrospective rule review to assess the effectiveness and efficiency of those requirements. The comment period ends Jan. 28, 2025. Amendments to FINRA Rule 3240: Updates to FINRA’s Borrowing From or Lending to Customers Rule go into effect April 28, 2025, strengthening the general prohibition against borrowing and lending arrangements between registered representatives and their customers, narrowing some exceptions, modernizing the “immediate family” definition and more.
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Disciplinary Actions |
FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The October 2024 Monthly Disciplinary Actions are available here. |
Education and Compliance Programs |
- Protecting Your Customers From Scams and Financial Fraud | Nov. 11 | Virtual Event
- Insider Threats | Dec. 4 | Virtual Event
- Week II: Capstone | Nov. 17-22 | In-Person Event | Sold Out
- Week I: Foundation | July 13-18, 2025 | In-Person Event
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Resources |
Member Firm Hub – The latest guidance, resources, educational opportunities and more. Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA). FINRA101 – An investor-focused video series firms can leverage to help customers avoid scams, understand trusted contacts and more. FINRA Unscripted – A biweekly podcast that discusses a range of topics important to the securities industry. |
Follow FINRA |
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About FINRAFINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org. |
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored. Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS. SubscribersYou received this message because you are currently subscribed to the email subscription list on the FINRA website. To update, use our "update information" or "unsubscribe" forms located at http://www.finra.org/Industry/Subscriptions |
