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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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 SeniorsEp. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors TeamFINRA Rule 2165FINRA Rule 4512FINRA Rule 32412025 Annual Regulatory Oversight Report
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