FINRA
Material regulatory developments from Financial Industry Regulatory Authority are tracked daily by Cresthaven Analytics. Over the last 90 days, 6 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
A selection of recent published briefs; this is not a complete archive.
FINRA shortens qualification exam retake waiting periods effective January 19, 2027
FINRA has shortened its qualification examination retake waiting periods, effective January 19, 2027. First- and second-attempt waiting periods drop from 30 to 15 calendar days. Third-and-subsequent attempt waiting perio…
Read the full FINRA brief →FINRA eliminates post-trade-date principal review requirement for bulk investment adviser order allocations effective November 2026
FINRA published Regulatory Notice 26-17 on October 9, 2026, announcing amendments to the rule governing allocations of bulk investment adviser orders. The amendments remove the requirement for principal review and approv…
Read the full FINRA brief →FINRA expands TRACE principal transaction indicator to cover member affiliate trades, effective August 2027
FINRA issued Regulatory Notice 26-16 on August 26, 2026, amending its TRACE rules to extend the principal transaction indicator to transactions between a member and its member affiliates. Compliance is mandatory by Augus…
Read the full FINRA brief →FINRA proposes expanded fraud-delay and senior-investor protections covering all customer accounts
FINRA has filed proposed rule change SR-FINRA-2026-018 with the SEC to amend three existing rules and adopt new Rule 2166, which authorizes temporary transaction delays for suspected fraud across all customer accounts. T…
Read the full FINRA brief →FINRA proposes rule change to arbitrator list selection procedures under Customer and Industry Codes
FINRA has filed proposed rule change SR-FINRA-2026-017 with the SEC to amend arbitrator list selection provisions in both the Customer Dispute and Industry Dispute Codes of Arbitration Procedure. The filing signals a str…
Read the full FINRA brief →FINRA issues Regulatory Notice 26-15 reaffirming best execution standards under Rule 5310 with updated interpretive guidance
FINRA published Regulatory Notice 26-15 on July 24, 2026, addressing member firms' duty of best execution under its core best execution rule. The notice consolidates and updates interpretive guidance governing how firms …
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