Notices

Information Notice 8/3/26

Information Notice 8/3/26 — Aug 03, 2026

Summary

FINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:

Regulatory Notice 26-15

Regulatory Notice 26-15 — Jul 24, 2026

Summary

A broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.

Regulatory Notice 26-14

Regulatory Notice 26-14 — Jul 09, 2026

Summary

FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).

Regulatory Notice 26-13

Regulatory Notice 26-13 — Jul 07, 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:

Information Notice 6/29/26

Information Notice 6/29/26 — Jun 29, 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.

Information Notice 6/17/26

Information Notice 6/17/26 — Jun 17, 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.

Regulatory Notice 26-12

Regulatory Notice 26-12 — Jun 09, 2026

Summary

In November 2025, Securities and Exchange Commission (SEC) staff issued a no-action letter permitting registered representative-owned personal services entities to receive transaction-based compensation without broker-dealer registration, subject to conditions. This Notice provides guidance regarding the manner in which FINRA rules apply in relation to the no-action letter. This Notice does not apply new requirements beyond the no-action letter requirements.

Election Notice - 6/8/2026

Election Notice - 6/8/2026 — Jun 08, 2026

Summary

FINRA will conduct its Annual Meeting of firms on Monday, July 13, 2026, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).¹

Regulatory Notice 26-11

Regulatory Notice 26-11 — May 19, 2026

FINRA is publishing updated interpretations of its margin rule (FINRA Rule 4210) to provide guidance to members in implementing the new intraday margin standards. Correspondingly, FINRA is deleting all interpretations relating to the former day trading margin requirements, which the new intraday margin standards have replaced in their entirety. Also, FINRA has made available educational resources, which members can share with customers, that provide information about the new intraday margin standards and margin accounts.

Regulatory Notice 26-10

Regulatory Notice 26-10 — Apr 20, 2026

FINRA has adopted new intraday margin standards to replace in their entirety the outdated day trading margin requirements, including the day trade count requirements for designating a customer as a “pattern day trader” and the $25,000 pattern day trader minimum equity requirement.