Personally, I feel the $25,000 threshold is too high and should be lowered ever so slightly. How about $20,000. Risk mitigation tools exist and it’s up to the trader to learn how to use them properly. The 90-Day PDT ban rule should be reinstated. There should be no reason the little guy has to be punished indefinitely for taking an extra trade once.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Membership and Registration Rule 1022(b) (Limited Principal - Financial and Operations ("FINOP")), Membership and Registration Rule 1022(c) (Limited Principal - Introducing Broker/Dealer Financial and Operations ("Introducing FINOP")), and Procedural
I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
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EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 35(d)(2)(D) of the NASD Rules of Fair Practice relating to testimonials used in members' communications with the public. The rule amendment limits application of the rule
SEC Approval and Effective Date for New Consolidated FINRA Rules
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt NASD Rules 2110, 2120, and 2290 as FINRA rules in the consolidated FINRA rulebook without material change and to delete Incorporated NYSE Rule 401(a), Incorporated NYSE Rule 435, with the exception of paragraph (5), and NYSE Rule Interpretations 401/01 and 401/02.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend new NASD Rule 2111 to delete two references to NASD Rule 6440(f)(2) in light of a recent rule change repealing Rule 6440(f). See SR-NASD-2005-124. Both new Rule 2111 and the repeal of Rule 6440(f) will become effective on January 9, 2006.
Consolidated Audit Trail (CAT)Customer Order Handling: Best Execution and Order Routing DisclosuresRegulation SHO – Bona Fide Market Making and Close-Out RequirementsFixed Income – Fair PricingOTC Quotations in Fixed Income SecuritiesMarket Access RuleExtended Hours Trading NEW FOR 2025Previous:Annuities Securities ProductsUp:Market IntegrityNext:Consolidated Audit Trail (CAT)
SR-FINRA-2009-016 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
