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Cards Wire 2 segments
0:15
FINR FINRA Source document ↗
United States FINRA Governance & Accountability ✓ 10 claims 27 Oct 2026

FINRA to host webinar on large IPO underwriting readiness for member firms

FINRA is running a short webinar aimed at member firms that underwrite, or plan to underwrite, large IPOs on a firm commitment basis. The session is for compliance, capital planning and operations staff who need a structured checklist before taking on or scaling an underwriting business line.

  • The webinar is scheduled for Thursday, Nov. 5, from 2 to 2:30 p.m. ET.
  • FINRA lists six topic areas including capital planning and subordinated loans, and funding, liquidity and reserve computations.
  • The session targets firms already engaged in, or considering, firm commitment underwritings.
  • Registrants must complete a sign-up form and may need to look up their firm's CRD number via BrokerCheck.
Source document
0:15
FINR FINRA Source document ↗
United States FINRA Governance & Accountability ✓ 27 claims 21 Oct 2026

FINRA 2026 customer data request adds elder-exploitation and beneficiary questions

FINRA has issued its 2026 Customer Information Request, a voluntary data collection that reached more than 2,400 firms. This year's form adds questions on registered persons named as customer beneficiaries and on temporary holds placed under the senior-exploitation rule. The FAQs clarify who counts as a customer, how to treat foreign and politically exposed relationships, and what to do if a firm cannot meet the deadline.

  • FINRA requested responses to the 2026 CIR by Nov. 18, 2026, covering customer data as of Sept. 30, 2026, from more than 2,400 firms contacted on Oct. 7, 2026.
  • New question 6b asks for the number of Non-Institutional accounts where the assigned registered person has been approved under Rule 3241 to be a beneficiary or hold a position of trust.
  • New questions let firms report the total number of temporary holds placed on Specified Adult accounts under Rule 2165 during the 12-month period ending Sept. 30, 2026, counting each hold separately.
  • Firms needing more time for their initial submission should notify their Risk Monitoring Analyst of the delay with an expected submission date and the reason, such as resource or technical constraints.
  • Amendments to an already submitted response may be filed at any time after Nov. 18, 2026, via the Create Amendment function in FINRA Gateway.
Source document