As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, we sit down with the leaders of FINRA's new Strategic Intelligence and Analytics team to discuss how they are working to identify and analyze these industry developments.
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that. On this episode, FINRA’s regulatory leaders join us to discuss key takeaways from the report.
Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
(a) No member shall open a margin account, as specified in Regulation T of the Board of Governors of the Federal Reserve System, for or on behalf of a non-institutional customer, unless, prior to or at the time of opening the account, the member has furnished to the customer, individually, in paper or electronic form, and in a separate document (or contained by itself on a separate page as part
Comment Period Expires: July 15, 1997
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To further restrict access to complex products would be a mistake. Demanding that brokerages and fiduciaries provide education on how these products work makes sense, but restriction earlier in my investing career actually cost me money. I currently use ETFs, leveraged instruments, and options to limit my risk.
Before starting, I spent hours and hours on educational sites, watching videos, and
July 1999
Year 2000: Will Your Firm Be Compliant?
Recognizing the importance of ensuring the Year 2000 readiness of the securities industry, the Securities and Exchange Commission (SEC) has taken key steps to encourage active compliance efforts by broker/dealers. The first of these actions required broker/dealers to submit two Form BD-Y2K progress reports under Rule 17a-5 of the Securities and
FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.
