The FINRA New Issue Form will be unavailable from 7 AM ET Saturday, March 27, 2021 until 7 PM ET Sunday, March 28, 2021, while the system undergoes scheduled maintenance.
Please contact FINRA Market Operations at 866-776-0800, Option 2 if you have questions regarding this notice.
Summary
This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)).
Questions concerning this Notice should be directed to:
James Barry, Director, Credit Regulation, Office of Financial and Operational Risk Policy, at (646) 315-8347 or by email;
Joseph David, Principal Specialist, Credit
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of March 19, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter March 18,
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
The 2020 TRACE Fact Book and fourth-quarter data tables are now available. The tables include aggregated information for securitized products as well as corporate and agency debt securities, including trades reported, the top 50 issues by trades and by par value, the average daily par value traded, customer buy vs. customer sell ratios and more.
View the 2020 TRACE Fact Book and 4Q 2020 tables
This page is intended to serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Retirement dates for Classic CRD features will also be noted on this page as they are announced. Check back for updates and announcements throughout the transition from Classic CRD to FINRA Gateway.
On This Page
Timeline
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2021.
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).
