Quarterly Highlights Resources
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This online format provides easier access to relevant notices and resources about the specified subjects and will be updated quarterly to keep it current and relevant. The categories, listed on the left side of this page, are expandable and may contain additional information about suitability, supervision, and educational resources.
A PDF version of the document is also available for printing and searching. It can be found on the right side of the Quarterly Highlights Overview page.
New and Upcoming Content
New:
FINRA Regulatory Notice 23-02 (January 18, 2023): FINRA Amends FINRA Rule 2231
FINRA Regulatory Notice 22-31 (December 15, 2022): FINRA Shares Practices for Obtaining Customers’ Trusted Contacts
FINRA Regulatory Notice 22-29 (December 14, 2022): FINRA Alerts Firms to Ransomware Risks
FINRA Regulatory Notice 22-28 (December 13, 2022): TRACE Reporting of Foreign Sovereign Debt Securities
FINRA Regulatory Notice 22-27 (December 1, 2022): FINRA Adopts Enhancements to Trace Reporting for U.S. Securities
FINRA Regulatory Notice 22-25 (November 17, 2022): FINRA Alerts Firms to Recent Trend in Small Capilization IPOs
FINRA Regulatory Notice 23-02 (January 18, 2023): FINRA Amends FINRA Rule 2231
Resources
• For more information visit the cecouncil.org website or contact CE Council member organizations.
• For compliance resources on issues affecting the security issue please visit FINRA Key Topics page.
Historic FEA Information
Quarterly Highlights - Q4 2022
Quarterly Highlights - Q3 2022
Quarterly Highlights - Q2 2022
Firm Element Advisory - Q1 2022
Firm Element Advisory - Q4 2021
Firm Element Advisory - Q3 2021
Firm Element Advisory - Q2 2021
Firm Element Advisory - Q1 2021
Firm Element Advisory - Q4 2020
Firm Element Advisory - Q3 2020
Firm Element Advisory - Q2 2020
Firm Element Advisory - Q1 2020
Firm Element Advisory - Q4 2019
Firm Element Advisory - Q3 3019
Firm Element Advisory - Q2 2019
Firm Element Advisory - Q1 2019
Firm Element Advisory - Q4 2018
Firm Element Advisory - Q3 2018
Firm Element Advisory - Q2 2018
Firm Element Advisory - Q1 2018
Firm Element Advisory - Q4 2017
Firm Element Advisory - Q3 2017
Firm Element Advisory - Q2 2017
Firm Element Advisory - Q1 2017