Notices

Information Notice 8/3/26 (Mon, 03 Aug 2026)
Summary FINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:
>> Read more

Regulatory Notice 26-15 (Fri, 24 Jul 2026)
Summary A broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.
>> Read more

Regulatory Notice 26-14 (Thu, 09 Jul 2026)
Summary  FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).
>> Read more

Regulatory Notice 26-13 (Tue, 07 Jul 2026)
Summary FINRA has amended Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to add an exception from the rule’s requirements for accounts pursuant to Section 530A of the Internal Revenue Code (Trump Accounts). The rule change became effective on June 17, 2026. The text of the amendment is included as Attachment A. Questions concerning this Notice should be directed to:
>> Read more

Inside FINRA's Financial Intelligence Fusion Center (Tue, 04 Aug 2026)
The threats facing the securities industry are evolving fast—and no single firm or regulator has the full picture alone. That's the idea behind FINRA's Financial Intelligence Fusion Center, or FIFC, launched earlier this year as part of the FINRA Forward initiative to strengthen cybersecurity and fraud prevention across the industry. The FIFC is a bi-directional intelligence sharing hub where FINRA and member firms collaborate to protect investors, members, and the integrity of our capital markets. On this episode, David Ring, Senior Director, Strategic & Threat Intelligence, and Kerri Provenza, Senior Director, Member Firm Experience, discuss why the center was created, what's happened since launch, and how members are already benefiting from timely, actionable intelligence tailored to the broker-dealer landscape. They also share early successes, lessons learned, and what's ahead, including how the FIFC is evolving based on direct feedback from member firms. Resources mentioned in this episode: Financial Intelligence Fusion Center FIFC: How To Get Started FINRA Forward FINRA Forward: A Year of Progress Ep. 180: Building Cybersecurity Resilience Through FINRA Forward 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 Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts, Google Play and by RSS.
>> Read more

How FINRA Turns Member Feedback Into Action (Tue, 07 Jul 2026)
As a self-regulatory organization, FINRA doesn't operate in a vacuum. Our effectiveness depends on understanding what is happening in the industry, hearing directly from our members, and translating that feedback into meaningful action. This engagement is a two-way street, and members might not realize just how many opportunities exist to make their voices heard. On this episode, Kayte Toczylowski, Senior Vice President, Member Firm Experience, discusses the many channels available for members to engage with FINRA, from formal advisory committees to regional representation to CEO roundtables. Learn how member feedback directly shapes our rulemaking process, drives internal improvements, and informs the work we do. Resources mentioned in this episode: FINRA 2026 Involvement and Election Process Overview FINRA Advisory Committees FINRA Indication of Interest Form Webinar: How to Respond to FINRA Requests for Comment Ep. 185: How FINRA Is Streamlining Data Requests Ep. 187: How FINRA Is Enhancing Member Firm Examinations FINRA Forward: A Year of Progress FINRA Forward FINRA Quarterly Regulatory Policy Agenda 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 Blog Post: A Progress Update on Rule Modernization Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts, Google Play and by RSS.
>> Read more