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19-28 Guidance Regarding Member Firms' Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients [PDF]
19-27 FINRA Requests Comment on Rules and Issues Relating to Senior Investors; Comment Period Expires: October 8, 2019 [PDF]
19-26 SEC Adopts Best Interest Standard of Conduct [PDF]
19-25 FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE; Comment Period Expires: September 24, 2019
19-24 FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
19-23 FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation
19-22 FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA's Website; Comment Period Expires: September 7, 2019
19-21 Margin Requirements for Exchange-Traded Notes
19-20 SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents; Effective Date: July 1, 2019
19-19 FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
19-18 FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations
19-17 FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
19-16 SEC Approves Amendments to FINRA Rule 4570; Effective Date: August 19, 2019 [PDF]
19-15 FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing [PDF]
19-14 2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
19-13 SEC Approves Amendments to FINRA Rule 4512 to Permit the Use of Electronic Signatures for Discretionary Accounts; Effective Date: May 6, 2019
19-12 FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination; Comment Period Expires: June 11, 2019
19-11 FINRA Announces Update of the Interpretations of Financial and Operational Rules
19-10 FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
19-09 FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
19-08 Guidance on FOCUS Reporting for Operating Leases
19-07 FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines; Effective Immediately
19-06 FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information; Comment Period Expires: April 26, 2019
19-05 FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions; New Effective Date: March 25, 2020
19-04 FINRA's 529 Plan Share Class Initiative Encourages Firms to Self-Report Potential Violations
19-03 FINRA Reminds ATS Subscribers and ATSs of the April 13, 2019, Effective Date for Disaggregated Transaction Reporting
19-02 FINRA Updates Supplemental Statement of Income; Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.
19-01 Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 21, 2019