Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Today I'm giving my first speech as FINRA's Chairman and CEO—and I can't think of a better audience for the occasion, although all of us wish the economic circumstances of the occasion were quite different. The fact that you are here speaks volumes about your commitment to build the most effective control environment possible at your firms.
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
Upcoming Election to Fill FINRA District Committee Vacancies
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T and Securities Exchange Act Regulation 15c3-3 extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
Questions regarding this Notice should be directed to
Debra German,
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
