Regulatory Notice 24-07 (Tue, 12 Mar 2024)
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards
Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB).
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Regulatory Notice 24-06 (Fri, 08 Mar 2024)
Summary
FINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other
professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal,
non-commercial purposes on a next-day basis.
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Special Notice – 2/27/24 (Tue, 27 Feb 2024)
Summary
FINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective
engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
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Regulatory Notice 24-05 (Mon, 26 Feb 2024)
Summary
FINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required
under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2 2024
Rule 606(a) Reports to FINRA no later than July 31, 2024.
The text of the new rule is available in the online FINRA manual.
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