FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
Deadline for Comments on Regulatory Notice 26-14
FINRA Requests Comment on Proposed Changes to Modernize Rule 2210 (Communications with the Public)
SOFI SECURITIES LLC
Information
- Reporter ID
- SOFI
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/sofi/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-30-2026 | https://public.s3.com/rule605/sofi/ | |
| 09-30-2026 | https://public.s3.com/rule605/sofi/ | |
| 07-10-2026 | https://public.s3.com/rule605/sofi |
GREEN PIER FINTECH LLC
Information
- Reporter ID
- PIER
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/pier/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-11-2026 | https://public.s3.com/rule605/pier/ | |
| 07-10-2026 | https://s3.com/ |
SR-FINRA-2026-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.