There are three ways to register: online, fax, or mail.
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
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Beginning Thursday, November 1, 2018, FINRA will discontinue processing the FINRA-Bloomberg Active U.S. Corporate Bond Indices.
The following FINRA TRACE Corporate and Agency (CA) API files will continue to have historical data available for download for the February 4, 2011 through October 31, 2018 period:
Indices (Investment Grade, High Yield)
10 Most Active Index Bonds (Investment Grade,
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
On October 16, 2018, FINRA announced the Small Firm Advisory Committee (SFAC) election for North and West Regions. Eligible small firms in the North and West Regions were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 15, 2018, and the newly elected SFAC member will take office in January 2019.
Candidates
Firms may vote for one
Notice of SFAC Election and Ballots
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
