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Last Updated: 6/14/02
Day Trading Information |
FINRA and federal agencies have published a number of communications for members, investors, and others about day trading. For your convenience, this page brings together this information in one area of our site
Publications
Day Trading Margin Requirements: Know the Rules
Day Trading: Your Dollars at Risk (Securities and Exchange Commission)
Notice to Members
Notices to Members is a monthly publication providing timely regulatory information about FINRA, including reports on amended rules, legal interpretations, and compliance guidelines.
01-26 SEC Approves Proposed Rule Change Relating to Day-Trading Margin Requirements
00-62 SEC Approves Day-Trading Rules
Rule Filings
FINRA publishes proposed NASD rule changes and makes them available for viewing on this Web site. Following are rule filings dealing with day trading.
Margin and Day Trading Risk Disclosure Statements on Member Web Sites (SR-NASD-2002-69)
Margin Requirements for Day-Trading Customers (SR-NASD-00-03)
Day Trading Risk Disclosure Statement (SR-NASD-99-41)
Testimony
View testimony by Mary L. Schapiro and Barry R. Goldsmith on day trading.
Goldsmith, Barry R.
Testimony before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day-Trading Industry
February 25, 2000
Schapiro, Mary L.
Testimony Before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day Trading Industry
September 16, 1999
Reports
Report of Examinations of Day-Trading Broker-Dealers (Securities and Exchange Commission)
Day Trading Requires Continued Oversight (General Accounting Office)
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