Summary Effective April 4, 2026, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $0.00 per million dollars in transactions to a new rate of $20.60 per million dollars in transactions. Finance-related questions should be directed to:
Summary FINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.
In general, a member must obtain a customer’s affirmative consent or instruction to transfer or assign the customer’s account to another member. However, for large bulk transfers of customer accounts, obtaining affirmative customer consent to such transfers or assignments may sometimes be unworkable.
As part of the FINRA Forward initiative, FINRA has adopted amendments to the Capital Acquisition Broker (CAB) rules that are designed to reduce the regulatory burden on CABs while maintaining CABs’ limited institutional business model and important investor protections.
In furtherance of the FINRA Forward initiative to support member compliance, FINRA has significantly enhanced Form NMA with improved navigation and document upload capabilities, integrated guidance tools, standardized response fields and clearer questions.
Arbitration is an important means for resolving disputes involving customers, FINRA member firms and their associated persons. FINRA’s Dispute Resolution Services (DRS) arbitration forum provides a fair and efficient alternative to litigation, promoting investor protection and market integrity.
The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to stay the effectiveness of specified expulsions and FINRA actions.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Capital Acquisition Broker Rules.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters.
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.…
Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection from Financial Exploitation