Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
FINRA disciplinary actions for the month of June 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of settlement day of a trading week. Rule 5.
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Account Name/Designation Changes
Institutional Securities Activities
Rule 3012 (Supervisory Control Systems)
Rule 3110 (Books and Records)
Supervision
Supervisory Control Procedures
Executive Summary
On September 30, 2004, the
INFORMATIONAL
Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
Effective Date: December 1, 2003
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KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 3130
Rule 3131
Rule 9160
Rule 9400 Series
Net Capital
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (i) extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 6, 2022 and (ii) extend to April 6, 2022 the implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) and
As announced in the December 15, 2008 OATS Reporting Technical Specifications, the Limit Order Display Indicator on the New Order, Combined Order/Route, Combined Order/Execution and Cancel/Replace reports is being renamed the “Customer Instruction Flag” to better reflect the purpose of the field.
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
INFORMATIONAL
Publication Of Quotations; Indications Of Interest
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KEY TOPICS
Executive Representatives
Legal &
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares))
