Notices

Regulatory Notice 25-16 (Tue, 18 Nov 2025)
Summary FINRA has amended its Codes of Arbitration Procedure (Codes) to better balance the process for generating the list of public arbitrators sent to the parties in certain customer and industry disputes that have a three-arbitrator panel. In addition, FINRA has made ministerial Code changes to codify certain current practices; establish new timeframes for certain actions; and align provisions of the Codes related to expungement of customer dispute information. The amendments become effective January 26, 2026.
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Information Notice 11/17/25 (Mon, 17 Nov 2025)
Summary The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 28, 2025 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
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Information Notice 11/14/25 (Fri, 14 Nov 2025)
Summary The SEC recently amended its rules governing electronic submission of filings and other materials to the SEC. The amendments require, among other things, that members submit their annual reports pursuant to SEA Rule 17a-5 to the SEC electronically in lieu of paper form, and they also make changes to the Financial and Operational Combined Uniform Single Report (FOCUS Report). FINRA is issuing this Notice to highlight key changes and compliance dates that affect members.
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Regulatory Notice 25-15 (Thu, 13 Nov 2025)
Summary FINRA has adopted amendments to Rules 6380A and 6380B to extend the operating hours of the FINRA Trade Reporting Facilities from opening at 8:00 a.m. Eastern Time to opening at 4:00 a.m. Eastern Time each business day. These amendments will take effect on March 30, 2026. The text of the amended rules is available in the online FINRA manual. Questions concerning this Notice may be directed to:
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Building Cybersecurity Resilience Through FINRA Forward (Wed, 19 Nov 2025)
Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even nation states. This new reality demands we respond not as individual organizations, but as a unified industry with shared intelligence and coordinated defenses. Through FINRA Forward, we are applying this perspective to create practical tools that firms can use to protect themselves and their clients from emerging threats.  On this episode, we explore the topic with Bryan Smith, FINRA’s Senior Vice President of Complex Investigations and Intelligence; Brita Bayatmakou, Vice President of Strategic and Threat Intelligence; and Jason Beachy, Vice President of the Cyber and Analytics Unit. Our guests discuss how FINRA is working to provide firms with the intelligence, preparation, and collaborative tools they need to better protect themselves and their customers in an increasingly complex threat landscape. These efforts include workshops and tabletop exercises, the Cyber and Operational Resilience program, and our forthcoming Financial Intelligence Fusion Center. Resources mentioned in this episode: FINRA Forward FINRA Crypto and Blockchain Education Program Blog Post: FINRA Forward’s Rule Modernization—An Update Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program FIFC Email: fifc@finra.org Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts, Google Play and by RSS.
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A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo (Tue, 04 Nov 2025)
Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively?  On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more. Resources mentioned in this episode: FINRA Forward Small Firm Advisory Committee (SFAC) FINRA Small Firm Helpline The Small Firm Briefing FINRA Crypto and Blockchain Education Program Reg Notice 25-13: Form U4 Recordkeeping Requirements Reg Notice 25-07: The Modern Workplace Reg Notice 25-06: Capital Formation Reg Notice 25-04: Rule Modernization Blog Post: FINRA Forward’s Rule Modernization—An Update Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts, Google Play and by RSS.
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