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2019


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Contents:
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