SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
Investment fraud involving the use of artificial intelligence (AI) is on the rise. Increasingly, fraudsters are using generative AI (GenAI) tools to gain access to financial accounts and create new accounts in the names of unsuspecting investors. Learn steps you can take to help protect yourself.
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws and all amendments thereto, forms of stock certificates and any and all agreements or other documents and amendments thereto relating to the business or affairs of the
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
