Notices

Special Notice – 5/15/25 (Thu, 15 May 2025)
Summary FINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
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Election Notice - 5/15/2025 (Thu, 15 May 2025)
The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 18, 2025.
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Information Notice - 4/24/25 (Thu, 24 Apr 2025)
Summary Effective May 14, 2025, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions. Finance-related questions should be directed to Amanda Rath, Associate Director, Revenue Management, at (240) 386-6637 or email. Legal and interpretive questions should be directed to:
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Regulatory Notice 25-07 (Mon, 14 Apr 2025)
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.
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Vendor Vigilance: Navigating Third-Party Risk (Tue, 06 May 2025)
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares valuable insights on why firms are facing heightened challenges with third-party vendors, the emerging risks posed by fourth-party relationships, and how FINRA's intelligence sharing is helping member firms protect themselves from vendor-related cybersecurity threats. Resources mentioned in this episode: 2025 Annual Regulatory Oversight Report CEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They Serve FINRA Cybersecurity Guidance Ep. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team Ep. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report Find us:  X / YouTube /LinkedIn / Facebook /  E-mail
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Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary (Tue, 01 Apr 2025)
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors. We will be focusing on the Helpline results and will provide a few examples of how the Helpline has become an effective conduit for investor protection, and how it has been helpful to member firms.   Resources mentioned in this episode:   FINRA Securities Helpline for Seniors   Ep. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team   FINRA Rule 2165   FINRA Rule 4512   FINRA Rule 3241   2025 Annual Regulatory Oversight Report Find us:  X / YouTube /LinkedIn / Facebook /  E-mail
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