Real FINRA notices and SEC rule changes, broken down into what actually changes for your firm's policies, filings, and exams — not a reprint of the notice itself.
The SEC's Regulation S-P deadlines for larger and smaller entities have both passed — here's what examiners are actually looking for in an incident response program, and where firms tend to fall short.
Read More →FINRA's enhanced New Member Application went live in April and the legacy version retired July 15, 2026. Every new membership filing now runs through the new form.
Read More →The first increase to the Gifts Rule limit since 1992 does more than raise a number — it codifies years of guidance directly into rule text. Here's what your WSPs need to reflect.
Read More →FINRA has fully retired the day trading margin requirements in favor of a new intraday margin standard. Here's how the new framework actually measures risk.
Read More →CABs can now represent both sides of a deal, handle secondary trades between institutions, and accept equity as compensation. Here's what the amended rules actually permit.
Read More →FINRA reminds firms with overseas operations, personnel, or records that foreign secrecy laws are not a valid excuse for failing to comply with an information request.
Read More →Proposed rule changes would extend temporary holds to 145 business days and create a new five-day fraud delay tool that applies to investors of any age.
Read More →The 2026 Renewal Program introduced a tiered Annual System Processing fee based on how many regulators each rep is registered with. Here's how to budget for it.
Read More →Firms no longer need FINRA staff pre-clearance before sending negative consent letters for bulk account transfers. Here's what still has to be in the letter.
Read More →Firms that are both a broker-dealer and an investment adviser can now report bond order allocations to managed accounts in a single aggregate TRACE report.
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