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Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to Adopt FINRA...

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-018

View Received Comments

Last Reviewed or Updated: Sept. 9, 2026

Resources

Notice Rule: SEC Issued Version (pdf 366.9 KB)

Details

Public Comments Due

Sept. 30, 2026

File Number

SR-FINRA-2026-018

Rule Type

Notice

Release Number

34-106275

SEC Issue Date

Sept. 3, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to Adopt FINRA...

Public Comments

Resources

Details

More in this Section

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to Adopt FINRA...

Public Comments

Resources

Details