Notices

Regulatory Notice 26-14 (Thu, 09 Jul 2026)
Summary  FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).
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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:
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Information Notice 6/29/26 (Mon, 29 Jun 2026)
Summary FINRA is issuing this Notice to remind carrying members of the SEC’s compliance date for the required daily customer and PAB reserve computations, which will apply to members with average total credits equal to or greater than $500 million. This Notice also highlights guidance provided by the SEC Division of Trading and Markets staff (Division staff) regarding the reserve deposit adjustment related to sweep program credits and provides information on how carrying members may report such adjustments.
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Information Notice 6/17/26 (Wed, 17 Jun 2026)
Summary FINRA is introducing a new electronic Rule 605 Designated Participant Authorization Form for members to obtain unique reporter identification codes and provide hyperlinks to their Rule 605 execution quality reports. The new form is available beginning June 17, 2026, through the FINRA Gateway, in advance of upcoming amendments to Rule 605 of SEC Regulation NMS and the Rule 605 NMS Plan effective August 1, 2026. All members selecting FINRA as their Designated Participant are required to submit the new form. 
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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.
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Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis (Tue, 02 Jun 2026)
On this episode, tune in to a conversation from FINRA’s 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discussed the partnership between board governance and executive leadership, and the strategic priorities shaping FINRA's direction. Resources mentioned in this episode: 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.
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