Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition.
The annual IRS contribution limits are increased periodically due to inflation, but they are not increased every year. The table on this page provides an overview of the maximum annual contribution limits for the current year.
(a) CAT Industry Member Fees (1) Fee Assessments(A) Historical CAT Assessment 1.(i) Each CAT Executing Broker shall receive its first invoice for Historical CAT Assessment 1 in November 2024, which shall set forth the Historical CAT Assessment 1 fees calculated based on transactions in October 2024, and shall receive an invoice for Historical CAT Assessment 1 for each
FINRA Revises the Series 24 and 23 Examination Programs
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
FINRA operates Monday through Friday during regular business hours, except as indicated below.2025 DateHolidayWednesday, January 1, 2025New Year’s DayFriday, January 17, 2025Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 20, 2025Martin Luther King, Jr. DayFriday, February 14, 2025Friday before President's Day (1 p.m. early close)Monday, February 17,
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
In observance of the National Day of Mourning in honor of former President James Earl Carter, Jr., the FINRA equity facilities will be closed on Thursday, January 9, 2025.
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