Notices

Regulatory Notice 26-07

Regulatory Notice 26-07 — Mar 09, 2026

FINRA has adopted a limited, temporary exception for reporting qualifying overnight transactions occurring prior to 8:00 a.m. Eastern Time that are appended with the .W modifier and that either result from an overnight batch process, or involve a trade for exchange-traded fund shares based on a net asset value that is published while the trade reporting facilities are closed.

Regulatory Notice 26-06

Regulatory Notice 26-06 — Mar 02, 2026

Arbitration is an important means for resolving disputes involving customers, FINRA member firms and their associated persons. FINRA’s Dispute Resolution Services (DRS) arbitration forum provides a fair and efficient alternative to litigation, promoting investor protection and market integrity.

Regulatory Notice 26-05

Regulatory Notice 26-05 — Feb 27, 2026

As part of the FINRA Forward initiative, FINRA has adopted amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $300 per person per year; incorporate and substantially codify current guidance and interpretations; and provide for exemptive relief. FINRA has also adopted conforming amendments to raise the gift limit to $300 in Rule 2310 (Direct Participation Programs), Rule 2320 (Variable Contracts of an Insurance Company), Rule 2341 (Investment Company Securities) and Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).

Regulatory Notice 26-04

Regulatory Notice 26-04 — Feb 23, 2026

As part of the FINRA Forward initiative, FINRA has adopted amendments to the Capital Acquisition Broker (CAB) rules that are designed to reduce the regulatory burden on CABs while maintaining CABs’ limited institutional business model and important investor protections.

Regulatory Notice 26-03

Regulatory Notice 26-03 — Feb 06, 2026

In general, a member must obtain a customer’s affirmative consent or instruction to transfer or assign the customer’s account to another member. However, for large bulk transfers of customer accounts, obtaining affirmative customer consent to such transfers or assignments may sometimes be unworkable.

Trade Reporting Notice 1/14/26

Trade Reporting Notice 1/14/26 — Jan 14, 2026

Summary

FINRA is reminding firms of upcoming updates to its equity trade reporting guidance in connection with enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the decimal. FINRA is also providing additional guidance for fractional share reporting in circumstances involving fractional amounts smaller than six decimals.

Regulatory Notice 26-02

Regulatory Notice 26-02 — Jan 08, 2026

Summary

FINRA seeks comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation. Based on comments on Regulatory Notice 25-07, FINRA proposes amendments to FINRA Rules 4512 (Customer Account Information) and 2165 (Financial Exploitation of Specified Adults) and proposed Rule 2166 (Temporary Delays for Suspected Fraud).

The rule text is available in Attachment A.

Questions concerning this Notice should be directed to:

Regulatory Notice 26-01

Regulatory Notice 26-01 — Jan 02, 2026

Summary

FINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions.

In November, FINRA issued Preliminary Statements announcing estimated renewal fees. Final Statements are now available to confirm or reconcile actual renewal fees owed as of January 1, 2026.

Regulatory Notice 25-19

Regulatory Notice 25-19 — Dec 29, 2026

Summary

FINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making extension requests. In connection with this update, the related interpretation to SEA Rule 17a-5(m)(1) in the Interpretations of the SEC’s Financial and Operational Rules is rescinded.

Election Notice - 12/16/2025

Election Notice - 12/16/2025 — Dec 16, 2025

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC).