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You are viewing Updates in FINRA Manual
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1 - 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. ( 8 January 2019)
Notices  >> 2019 
2 - 12214. Payment of Arbitrators ( 7 January 2019)
FINRA Rules  >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES  >> PART II GENERAL ARBITRATION RULES 
3 - 13214. Payment of Arbitrators ( 7 January 2019)
FINRA Rules  >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES  >> PART II GENERAL ARBITRATION RULES 
4 - 19-01 Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: January 21, 2019 ( 2 January 2019)
Notices  >> 2019 
5 - 7610A. Securities Transaction Credit ( 1 January 2019)
FINRA Rules  >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES  >> 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES  >> 7600A. DATA PRODUCTS AND CHARGES FOR FINRA/NASDAQ TRADE REPORTING FACILITY SERVICES 
6 - 7620A. FINRA/Nasdaq Trade Reporting Facility Reporting Fees ( 1 January 2019)
FINRA Rules  >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES  >> 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES  >> 7600A. DATA PRODUCTS AND CHARGES FOR FINRA/NASDAQ TRADE REPORTING FACILITY SERVICES 
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