FINRA Amends Annual Reports Extension Policy

FINRA has amended its Annual Reports Extension of Time Request Policy, updating the information required from firms and their auditors. The updated policy, effective December 29, 2025, streamlines the extension process by modifying auditor representation requirements and shifting certain representations to the firm's Principal Financial Officer.

FINRA Final Statements for Broker-Dealers and Investment Advisers

FINRA has made Final Statements available for broker-dealers and investment adviser firms regarding renewal fees for 2026. Firms must review their statements, reconcile any discrepancies, and remit additional payments by January 23, 2026.

FINRA Seeks Comment on Rule Revisions for Investor Protection

FINRA is seeking public comment on proposed rule revisions aimed at enhancing member firms' ability to protect senior investors from financial exploitation and all investors from fraud. The proposed amendments focus on customer account information and temporary delays for suspected fraud, with a comment deadline of March 9, 2026.

FINRA Trade Reporting Enhancements for Fractional Share Transactions

FINRA is reminding firms of upcoming trade reporting enhancements for fractional share transactions, effective February 23, 2026. Members will be required to report fractional share quantities up to six digits after the decimal in a new field.

FINRA Guidance on Negative Consent for Bulk Customer Account Transfers

FINRA has issued guidance to reduce burdens for broker-dealers regarding the use of negative consent for bulk customer account transfers. This notice eliminates the requirement for firms to submit draft letters to FINRA for review and approval, consolidating existing guidance and providing effective practices.

ICO Guidance on Subject Access Requests

The UK Information Commissioner's Office (ICO) has published guidance on subject access requests (SARs) under GDPR. The guidance is aimed at large businesses in the public, private, and third sectors, with resources also available for small businesses.

ICO Guidance on Individual Rights and GDPR

The UK's Information Commissioner's Office (ICO) has updated its guidance on individual rights under GDPR. This update is in anticipation of the Data (Use and Access) Act 2025 and indicates that further changes may occur. The guidance is primarily aimed at large businesses.

ICO Guidance on Lawful Basis for Personal Data Processing

The UK's Information Commissioner's Office (ICO) has updated its guidance on the lawful basis for processing personal data. This guidance is under review due to upcoming legislation, the Data (Use and Access) Act 2025, and may be subject to change.

UK GDPR: Controllers and Processors Definitions and Responsibilities

The UK's Information Commissioner's Office (ICO) has updated its guidance on definitions and responsibilities for data controllers and processors under UK GDPR. This update is in anticipation of the Data (Use and Access) Act 2025 and is suitable for large businesses, with resources also available for small businesses.

ICO Guidance on UK GDPR International Data Transfers

The UK's Information Commissioner's Office (ICO) has published updated guidance on international transfers of personal data under UK GDPR. The guidance consolidates information on adequacy regulations, appropriate safeguards, transfer risk assessments, and exceptions for restricted transfers.