Federal Register #SR-FINRA-2026-008

SEC Notice: FINRA Rule 8210 Amendment for Electronic Delivery via FINRA Gateway

This notice from the Securities and Exchange Commission (SEC) announces a proposed rule change by the Financial Industry Regulatory Authority, Inc. (FINRA) regarding regulatory communications. - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs and Vendors: - Financial Industry Regulatory Authority, Inc. (FINRA) - Products/Services Requested: - No products or services are being procured; the notice concerns a regulatory process change - Notable Requirements: - Amends FINRA Rule 8210 to require electronic delivery of information and testimony requests via FINRA Gateway - Replaces previous physical mail delivery with secure electronic transmission - Aims to streamline compliance and regulatory communications for member firms - No contract, procurement, or acquisition activity is involved in this notice

Description

The Securities and Exchange Commission (SEC) announced the filing and immediate effectiveness of a proposed rule change by the Financial Industry Regulatory Authority, Inc. (FINRA) to amend Rule 8210. The amendment specifies that FINRA will deliver electronically its requests for information and testimony to member firms through FINRA Gateway, modernizing and streamlining the delivery process. This change aligns with current technological practices and enhances efficiency in regulatory communications. The rule change maintains the principle that notice is deemed received when transmitted but updates the transmission method from mail to electronic delivery.

View original listing