SummaryEffective May 14, 2025, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $27.80 per million dollars in transactions to a new rate of $0.00 per million dollars in transactions.Finance-related questions should be directed to Amanda Rath, Associate Director, Revenue Management,
To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC, puts us in the unique position to guard the integrity of the market
The earlier issue which affected The FINRA/Nasdaq TRF1 Carteret has been resolved. Please refer to the Nasdaq Trader notice posting relating to this problem and its status.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
The FINRA/Nasdaq TRF1 is currently experiencing an issue which is causing rejects from the FINRA/Nasdaq TRF Carteret. Please refer to the Nasdaq Trader notice posted relating to this problem.1 “FINRA/Nasdaq TRF” means the FINRA/Nasdaq TRF Carteret and the FINRA/Nasdaq TRF Chicago, depending on the facility to which the member firm reports.
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.See the schedule of reporting dates below.2024 Short Interest Reporting
