Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
The term “metaverse” has attracted significant attention and curiosity in recent years from the media, entertainment and technology sectors. Though the term has no concrete definition, and interpretations may differ, the metaverse is generally viewed as the next evolution of today’s internet.
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
n the event a Vendor misses transmission of TRACE data and would like to request retransmission, please follow the steps outlined on this page. Note: Only existing vendors can request retransmission of TRACE data.
SummaryDay trading broadly refers to an overall trading strategy where a customer effects both buy and sell transactions in the same security in the same day to profit from movements in the price of the security. FINRA has had longstanding rules designed to limit the potential losses from day trading for both customers and members, and to ensure the risks of day trading are disclosed to customers
As previously communicated, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files.The test period for this project will continue through Friday, January 10, 2025, and the use of digital certificates will continue to be supported through this date so clients can successfully migrate. FINRA encourages API clients to test their MFA process in the
FINRA alerts member firms that the New York Stock Exchange (NYSE) has filed a rule change for immediate effectiveness to harmonize NYSE Rule 3110 (Supervision) with FINRA Rule 3110 (Supervision) to permit eligible NYSE member organizations to participate in FINRA’s Remote Inspections Pilot Program and to adopt FINRA’s Residential Supervisory Location (RSL) classification.
PDT rule makes it difficult to grow small accounts quickly, please remove it.If someone with an account value less than $25,000 buys multiple (4 or more, maybe including options) securities, and they are all profitable, they risk getting hit with the PDT rule if they close all of them to realize their profits.To avoid getting hit with the rule, they would have to leave some of the profitable
Mr. Rindell is Vice President of Learning, Talent and Organizational Development at FINRA, with responsibility for FINRA’s training and development programs.Prior to joining FINRA, Mr. Rindell led enterprise leadership development and executive coaching at Cigna and played a key role in enhancing performance management, advancing enterprise leadership development and revamping Cigna's
