As of June 1, 2024ChairpersonDarlene Pasieczny*Samuels Yoelin Kantor LLPPortland, OR(Public)PublicOmar BengaliGirard Bengali APCLos Angeles, CAHugh D. BerksonMcCarthy, Lebit, Crystal & Liffman Co., LPACleveland, OHScott Eichhorn*University of Miami School of LawCoral Gables, FLJorge RieraRiera Law FirmCoral Gables, FLPatricia Vannoy*Mattson Ricketts Law FirmLincoln, NECourtney
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Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately.
The multi-week period following the end of each quarter when most public companies release their earnings reports is known as earnings season. Wall Street analysts, financial media and investors often eagerly anticipate reports from many major firms during earnings season and monitor how they might impact individual stocks and economy-wide narratives.
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2024 FINRA Board of Governors Meeting.
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
Money you make on an investment is considered a capital gain, and in most cases, you’ll need to pay a capital gains tax. If your investment loses money, you have a capital loss. Your capital gain or loss is the difference between the sale price and the cost basis, and the tax rate depends on how long you held the investment.
By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
FINRA reminds ORF and TRACE clients that test function partners should be arranged with other street-side firms when needing to conduct trade matching, new trade entries or allege versions of cancels/corrections and reversal transactions in the Nasdaq Test Facility (NTF) region.
