Regulatory Notice 25-02 (Mon, 27 Jan 2025)
Summary
FINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which
started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during this
time.
>> Read more
Election Notice - 1/10/2025 (Fri, 10 Jan 2025)
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and
the distribution of ballots.
>> Read more
Information Notice - 1/3/25 (Fri, 03 Jan 2025)
As announced by The Options Clearing Corporation (OCC) and the national options exchanges, due to the National Day of Mourning on January 9, 2025, the Contrary Exercise Advice (CEA, also known as
“Expiring Exercise Declaration” or EED) cut-off time for options that expire on January 9, 2025, will be modified as follows:
>> Read more
Regulatory Notice 25-01 (Thu, 02 Jan 2025)
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings
with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA
publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.
>> Read more
FINRA Monthly Recap
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team (Tue, 11 Feb 2025)
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and
Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments.
On this episode, we sit down with the leaders of the StratIntel team: Senior Vice President of Data and Analytics for Member Supervision Jim Reese, and his two Vice Presidents, Brita Bayatmakou
and Clint Johnson. The three share insights on how this new team is evolving FINRA's approach to intelligence gathering and risk monitoring, and the innovative ways they are using data and analytics
to support FINRA's mission of investor protection and market integrity.
Resources mentioned in this episode:
2025 Regulatory Oversight Report3110. SupervisionEpisode 168: Investing Wisely in 2025: Avoiding Scams and
Achieving Your Financial GoalsEpisode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report
Find us: X / YouTube /LinkedIn / Facebook / E-mail >> Read more