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  • Deadline for Comments on Regulatory Notice 26-06

    FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes
    Learn more: https://www.finra.org/rules-guidance/notices/26-06
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • Annual Reports Due

    SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • SLS Filings Due

    FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • 2026 Annual Conference

    FINRA’s premier event—the Annual Conference creates an environment for member firms to learn from FINRA staff and connect with industry peers. This forum is designed to provide practical guidance and critical insights on trending regulatory and compliance topics which, in turn, aims to increase investor protection. Firms can expect to hear how to prepare and adapt to regulatory changes and refine and strengthen compliance practices, all while participating in various opportunities to build their network of industry professionals.
    Learn more: https://www.finra.org/events-training/conferences-events/2026-annual-conference
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • FOCUS Part II/IIA – Monthly Filings Due

    SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • Annual Reports Due

    SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • SIS Filings Due

    FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation

    This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381116/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar

  • FINRA Crypto Applied Learning Program at Georgetown University

    FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge.

    The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar

  • SR-FINRA-2025-017

    Rule Filing Status: Approved

    A proposed rule change to amend FINRA Rule 4210 to replace its current day trading margin provisions with modern intraday margin standards. As such, the proposed rule change would eliminate paragraph (f)(8)(B) under Rule 4210 together with associated provisions relating to the day trading margin requirements under paragraphs (b), (f)(10) and (g)(13), would establish new paragraphs (a)(17) through (a)(19), new paragraph (d)(2) and new paragraphs (g)(1)(J) and (g)(1)(K), and would make minor conforming amendments.

    FINRA Category: Rule Filings

    Add to Calendar: https://www.finra.org/calendar/ical/381106/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar