Uniform Practice Advisory (UPC 54-26) Thu, 11 Jun 26 12:00:00 +0000
Super Micro Computer, Inc. (SMCIP)

Uniform Practice Advisory (UPC 53-26) Thu, 11 Jun 26 12:00:00 +0000
Impac Mortgage Holdings Inc

Board Approved Four Rule Proposals That Advance FINRA Forward Initiatives

WASHINGTON—FINRA’s Board of Governors met on June 3-4 and approved four rule proposals as well as its 2025 Annual Financial Report. The Board also received several briefings, including on the FINRA enforcement program external review and request for comments on arbitration.

Uniform Practice Advisory (UPC 52-26) Wed, 10 Jun 26 12:00:00 +0000
Super Micro Computer, Inc. (SMCIV) (When Issued)

Summary

In November 2025, Securities and Exchange Commission (SEC) staff issued a no-action letter permitting registered representative-owned personal services entities to receive transaction-based compensation without broker-dealer registration, subject to conditions. This Notice provides guidance regarding the manner in which FINRA rules apply in relation to the no-action letter. This Notice does not apply new requirements beyond the no-action letter requirements.

Summary

FINRA will conduct its Annual Meeting of firms on Monday, July 13, 2026, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).¹

Uniform Practice Advisory (UPC 51-26) Mon, 08 Jun 26 12:00:00 +0000
Bitmine Immersion Technolgies Inc (BMNEP)

Uniform Practice Advisory (UPC 49-26) Wed, 03 Jun 26 12:00:00 +0000
Alphabet Inc (GGLBP)