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Notifications From FINRA Systems

As part of FINRA’s Digital Experience Transformation, FINRA will begin consolidating most compliance system-generated notifications that are sent to firms into one notification system.  

System-generated notifications will begin coming in a new format from:  

The new change will take effect with FinPro notifications for registered representatives who have CE requirements due. This is optional functionality that firms can utilize beginning in late September 2021. Additional system-generated notifications will be transitioned to this new notification system over the coming months.  

Templates of these new email notifications can be made available to firms by contacting [email protected].