FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
As announced by The Options Clearing Corporation (OCC) and the national options exchanges, due to the National Day of Mourning on January 9, 2025, the Contrary Exercise Advice (CEA, also known as “Expiring Exercise Declaration” or EED) cut-off time for options that expire on January 9, 2025, will be modified as follows:Option holders will have until 10:00 a.m. Eastern Time (ET) on January 9, 2025
I oppose the Rule #22-08. My right to invest will taken away from me. Please vote against the Rule #22-00
Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit to FINRA must be made electronically
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
The Funding Portals and Crowdfunding Offerings section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Don't increase stifling rules on trading. These rules won't help to democratize financial services but make them more elite.
This is a bad rule! There is already excessive limitations on individuals from investing in products and securities (such as the accredited investor limitations). More limitations are bad, and will decrease the opportunities for individual investors to make money in the markets.
This proposed rule is AGAINST the very mission of FINRA (which is to protect investors) because it prevents them from
