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Cards Wire 10 segments
0:15
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 10 claims 31 Oct 2026

FINRA records settled disciplinary action against First Citizens Investor Services

FINRA has entered a disciplinary record against First Citizens Investor Services, Inc. under case ID 2024080202401. The published entry confirms a settled action by consent, but the conduct at issue and any sanctions sit in the attached Letter of Acceptance, Waiver, and Consent rather than in the record itself. This briefing reports what the public entry states and flags what it does not.

  • FINRA's record names First Citizens Investor Services, Inc., CRD 44430, under case ID 2024080202401.
  • The matter is recorded as a Letter of Acceptance, Waiver, and Consent, document number dae65ab3.
  • The case entry lists an action date of 10/30/2026 and links to the full AWC as a separate attachment.
  • The conduct at issue and any sanctions are held in the attached document and do not appear in the public case record.
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FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 11 claims 30 Oct 2026

FINRA posts settled action against broker Landon Beecham

FINRA has published a disciplinary entry recording a Letter of Acceptance, Waiver and Consent involving Landon Beecham. The public listing carries the case identifiers and action date but not the substantive findings, which sit in an attached document. This item covers what the listing itself establishes and flags how little can be said without the attachment.

  • FINRA recorded Case ID 2026090290701 against Landon Beecham, CRD 8134707.
  • The entry is classified as a Letter of Acceptance, Waiver and Consent (AWC), with an action date of 30 October 2026.
  • The listing references an attached document numbered 52995ea8 that is not reproduced in the metadata.
  • The published record does not state the conduct, findings or sanctions at issue.
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FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 15 claims 28 Oct 2026

FINRA clarifies options rules now cover binary options, effective immediately

FINRA's October 28 digest confirms a rule change that already took effect this week: binary options now fall squarely under existing options oversight. Compliance and legal teams at member firms offering or clearing these products should understand which rules now apply and the margin computation changes before examiners ask about them.

  • Regulatory Notice 26-21, published Oct. 26, 2026, applies Rules 2220, 2360 and 4210 to binary options.
  • The notice covers binary options whose payout is based on an issuer's reported financial or operating metrics.
  • It also covers binary options cleared by a registered clearing agency other than The Options Clearing Corporation.
  • FINRA updated its Rule 4210 interpretations to clarify the required margin computations for binary options.
  • The rule changes took effect Oct. 22, 2026, four days before the explanatory notice was published.
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FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 23 claims 28 Oct 2026

SEC clears FINRA rule letting brokers show performance projections to clients

FINRA's October 21 weekly update confirms SEC approval of a rule change allowing member firms to include performance projections in communications with investors, alongside several other near-term compliance deadlines. Compliance officers tracking advertising rules, underwriting compensation disclosure and qualification exam policy should note the staggered effective dates listed.

  • The SEC approved FINRA's amendment to Rule 2210 on Oct. 15, 2026, allowing performance projections and targeted returns in public communications subject to certain conditions.
  • FINRA has not yet set an effective date for the Rule 2210 amendment and will announce it in a future Regulatory Notice.
  • Regulatory Notice 26-19, published Oct. 21, amends Rules 5110 and 5123; the Rule 5123 changes take effect Oct. 21 and the Rule 5110 changes take effect Dec. 21.
  • Regulatory Notice 26-18, published Oct. 14, details shortened waiting periods for retaking failed qualification exams, effective Jan. 19, 2027.
  • Responses to the 2026 Customer Information Request are requested by Nov. 18, and SFAC/Regional Committee candidate forms are due by Nov. 19.
Source document
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FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 18 claims 28 Oct 2026

FINRA drops principal approval for late bulk adviser order allocations

FINRA's Oct. 14 weekly update summarizes Regulatory Notice 26-17, which finalizes amendments to Rule 4515.01 governing how firms allocate bulk orders placed by investment advisers. The change is part of the broader FINRA Forward rule modernization effort and removes a specific post-trade review step for member firms.

  • FINRA Regulatory Notice 26-17, published Oct. 9, summarizes amendments to Rule 4515.01 on allocations of orders made by investment advisers.
  • The amendments eliminate the requirement that a principal review and approve allocations of bulk investment adviser orders received after trade date.
  • The notice text states the amendments take effect Nov. 16, 2026.
  • A separate Regulatory Reminders entry in the same FINRA update states the rule change takes effect Nov. 6.
  • The amendments are described as part of the FINRA Forward rule modernization initiative.
Source document
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FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 10 claims 28 Oct 2026

FINRA and SIFMA Foundation launch five-year investor education alliance

FINRA and the SIFMA Foundation announced a five-year partnership to expand financial education for young people, citing survey data on parental confidence gaps and the growth of youth-targeted investment products. The item is relevant to compliance and government affairs teams tracking regulator priorities on financial literacy and retail investor protection.

  • FINRA and the SIFMA Foundation announced a five-year strategic alliance on October 28, 2026 to expand investor education for young people.
  • A SIFMA Foundation survey found 92% of parents believe it is critical for children to learn about investing, while 78% lack confidence to teach investing basics at home.
  • The survey also found 76% of respondents believe financial education should start before high school.
  • The Stock Market Game, the Foundation's flagship program launched in 1977, has reached more than 24 million young people to date.
  • The announcement references new initiatives such as Trump Accounts and the growth of online investing apps and finfluencers as context for the alliance.
Source document
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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
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FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 16 claims 27 Oct 2026

FINRA interpretation lets portfolio-margin firms margin hedging swaps with dealers on a PM basis

FINRA has added an interpretation to Rule 4240, its margin regime for security-based swaps carried by members that are not registered SBS dealers. Published October 27, 2026, it narrows one computation: how a portfolio-margin-approved firm sets initial margin on an Uncleared Basic SBS entered with a dealer counterparty to hedge its own commercial risk. The change is technical but affects capital and collateral for firms running SBS books under portfolio margin.

  • The interpretation, dated October 27, 2026, sits under Rule 4240(b)(2)(A)(ii), which governs the Initial Margin Requirement on an Uncleared Basic SBS by reference to Rule 4210 margin on the Equivalent Margin Account.
  • It applies only where the member is approved to offer portfolio margin and the counterparty is a registered security-based swap dealer under Exchange Act section 15F.
  • The swap must be entered to hedge or mitigate the member's commercial risk as defined in SEA Rule 3a67-4.
  • The portfolio-margin treatment is available only if expressly permitted under the member's written risk analysis methodology submitted to FINRA under Rule 4210(g).
  • Rule 4240 itself does not apply to members registered as security-based swap dealers, which instead comply with SEA Rule 18a-3.
Source document
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FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 15 claims 26 Oct 2026

FINRA extends options rulebook to binary options and non-OCC clearing

FINRA has pulled binary options, including the new 'binary metric options' tied to an issuer's reported financials and those cleared outside OCC, squarely inside its existing listed options rules. The changes touch options communications, trading, suitability, supervision and margin, and took effect immediately. This segment covers what the amendments define, which rules they reach and what members must now apply.

  • Amendments to Rules 2220, 2360 and 4210 apply FINRA's listed options framework to binary options, metric options and options cleared outside OCC, effective October 22, 2026.
  • Rule 2360 adds definitions of 'binary option' (Rule 2360(a)(2)) and 'underlying metric' (Rule 2360(a)(38)) and revises existing definitions to cover options overlying a metric.
  • Four updated Rule 4210 interpretations address binary option requirements, spreads, straddles or similar combinations, and margin under 4210(f)(2)(N)(ii).
  • The changes respond to exchange proposals filed with the SEC to list 'binary metric options' whose settlement amount is fixed at creation and payout depends on an issuer's reported metrics.
  • Conforming updates were also made to Rules 2351 and 2357 covering index warrants, currency index warrants and currency warrants.
Source document
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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