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Regulatory Notice 26-03
In general, a member must obtain a customer’s affirmative consent or instruction to transfer or assign the customer’s account to another member. However, for large bulk transfers of customer accounts, obtaining affirmative customer consent to such transfers or assignments may sometimes be unworkable.
SR-FINRA-2026-003
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility for trade reporting but elect to purchase specified services from it.
2026 FINRA Advertising Regulation Conference
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for