Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products to a new Linux-based operating system. FINRA requires client testing participation for this project.Trade Reporting:TRACE clients who utilize FIX for SP trade entry and other transactions should test all FIX Tags to ensure they are properly being processed
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation highlights new grants, studies, and other research geared toward improving financial literacy.@FINRA_Tech is pushing the limits of technology to protect investors and ensure financial markets are fair for all.
Follow FINRA's new Instagram page at @FINRAOfficial to find investor-focused content designed to help the everyday investor up their investing know-how.
Brokerage firms are typically paid transaction-based compensation, which means the firm might have an incentive to encourage you to trade often. If you notice a seemingly high level of activity in your brokerage account, this could be a sign of a type of misconduct known as “excessive trading.”
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). The issue has now been resolved and all files and data have been published on the website. If you have any questions, please contact FINRA Business Services.
Disclosure of risks of day trading should be enough. The $25K limit during volatile mark-to-market accounting causing my $25K risk trading account to occasionally hit the minimum equity call even though I never trade outside the cash available in my trading account. The margin portion of my account is needed for trading more complex option strategies which limit my exposure. This rule
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
