Summary
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial
Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
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.
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
I can’t express how glad I am to know someone is still looking out for the small-account trader…Many others have already stated the most obvious reasons to do away with the financial industry’s antiquated “[Fin.] Crow” laws, b/k/a “Pattern Day Trader (PDT) rules” – discriminatory pay-to-play minimums, forcing traders to take debilitating losses rather than be branded ‘PDT’/closing-orders-only,
The Communications with the Public topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Rule 2231 (Customer Account Statements) to (a) add new supplementary materials pertaining to compliance with Rule 4311 (Carrying Agreements), the transmission of customer account statements to other persons or entities
