Notices

Election Notice - 9/25/2023 (Mon, 25 Sep 2023)
Summary The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot.
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Election Notice – 9/11/23 (Mon, 11 Sep 2023)
Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes.
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Election Notice – 9/11/23 (Mon, 11 Sep 2023)
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
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Regulatory Notice 23-15 (Tue, 05 Sep 2023)
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
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FINRA’s Blockchain Lab: Regulation and Innovation For The Future (Tue, 19 Sep 2023)
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives. Michael Oh, Senior Director of the Blockchain Lab, Brian Huerbsch, a Senior Blockchain Data Analyst, and Jason Foye, Senior Director and head of FINRA's Crypto Hub share how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets. Resources mentioned in this episode: Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub Episode 137: The Crucial Role of FINRA’s CAI Team Investor Insights: What Is a Blockchain, and Why Should I Care? FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work
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A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team (Tue, 05 Sep 2023)
As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons. In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from Jamie Udinson, Senior Director of the Crypto Asset Investigations team, Taylor Etzell, a Senior Principal Investigator, and Jason Foye, Senior Director and head of FINRA's Crypto Hub, who provide insight into FINRA's Crypto Asset Investigations Team.  We learn more about this dedicated group of investigators specializing in conducting complex crypto asset investigations and the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space. Resources mentioned in this episode: Episode 71: Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity Episode 72: Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation Episode 117: Membership Application Program Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub Rule 3270: Outside Business Activities of Registered Persons Rule 3280: Private Securities Transactions of an Associated Person FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work
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