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SR-FINRA-2026-015

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 6320A, 6320B, 6380A, and 6380B regarding the operation of the FINRA/NYSE Trade Reporting Facility, the FINRA/Nasdaq Trade Reporting Facility Carteret, and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “Trade Reporting Facilities” or “TRFs”) to extend TRF operating hours such that the TRFs are operational from 9:00 p.m. Eastern Time (“E.T.”) on Sundays to 8:00 p.m. E.T.

Regulatory Notice 26-13

Summary

FINRA has amended Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to add an exception from the rule’s requirements for accounts pursuant to Section 530A of the Internal Revenue Code (Trump Accounts). The rule change became effective on June 17, 2026.

The text of the amendment is included as Attachment A.

Questions concerning this Notice should be directed to:

PGWTA

Professional Generational Wealth Transfer Advisor (PGWTA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization College for Financial Planning – a Kaplan Company
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, self-study course; instructor-led option based on availability
Designation Exam Type

Online, closed-book final exam
Continuing Education Requirements

16 hours every two years
Verification and Complaints
Online Designation Resource

Online at Find a Financial Advisor
Investor Complaint Process

Complete complaint form and send it via mail to the College for Financial Planning, Attn: Ethical Conduct Committee, 9000 E. Nichols Ave, Ste 200, Centennial, CO 80112, or fax to 602-626-2466.
Published List of Disciplined Designees

None
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