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Regulatory Notice 20-32
Summary FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft. 
Notice to Members 06-02
ACTION REQUIRED 2006 Final Renewal Statements and Reports SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD® Executive Summary The 2006 NASD Broker-Dealer and
Election Notice – 6/30/15
Notice of Annual Meeting of FINRA Firms and Proxy
Election Notice - 10/10/08
FINRA Small Firm Advisory Board Election
Election Notice - 8/26/08
Nominee for Vacant FINRA Board of Governors Small Firm Seat
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Notice to Members 07-01
GUIDANCE Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management IARDSM Maintenance Fees Registration Renewals Web CRD®
Election Notice - 5/3/11
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
Regulatory Notice 20-27
FINRA is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name). One portion of the website contains a link to a registration site that is not legitimate (see images, below). In addition, it is possible bad actors could leverage the domain to send fake emails including those with imbedded phishing links or attachments containing malware.
Notice to Members 05-01
INFORMATIONAL Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005 SUGGESTED ROUTING KEY TOPICS Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees Executive Summary The 2005 NASD Broker-Dealer and Investment Adviser Registration