Navigating
Regulatory
Proposals

During its June meeting, the FINRA Board of Governors approved its 2025 Annual Financial Report alongside four rule proposals that the regulator characterizes as part of its "FINRA Forward" modernization initiative. While FINRA asserts that these measures are intended to "reduce unnecessary regulatory burdens," the proposals remain subject to further SEC oversight and filing.

The proposals include making the Remote Inspections Pilot Program permanent, extending presumptive inspection cycles for non-branch locations, and modifying eligibility for Residential Supervisory Locations (RSLs). Additionally, FINRA is looking to advance adjustments to the Continuing Education workload for individuals registered with multiple firms and amend corporate financing rules to simplify compliance regarding conflicts of interest and expand certain private placement exemptions.

The Board was also briefed on an external review of its enforcement program and received updates regarding technology investments intended to support its examination and filing programs.

Work with a partner that is positioned to support broker-dealers by providing personalized guidance based on years of experience within FINRA. As the regulator moves toward what it calls a "risk-based" supervisory approach, Diles Consulting can assist firms in evaluating the effectiveness of their internal controls and updating their protocols for inspections to meet these new standards. Our company helps clients navigate FINRA's proposed rule changes, such as the modified CE requirements and corporate financing modernization. Leveraging an "unparalleled" understanding of how FINRA scopes and conducts examinations, Diles Consulting offers expert compliance solutions to ensure firms maintain robust compliance programs as these asserted regulatory efficiencies are implemented.

Report From FINRA Board of Governors Meeting – June 2026 | FINRA.org