SummaryFINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2025, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the year, including prior to
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Section 1 (General Information) of the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) to add a new question eliciting information to identify locations as residential supervisory locations (“RSLs”); (2) amend FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) to remove the reference to a list of RSLs and the quarterly timeframe for member firms to provide the list to FINRA and replace it with the requirement that member firms provide current information identifying all locations designated as RSLs in the frequency, manner and format as FINRA may prescribe; and (3) make conforming changes to Section 6 (Registration Requests with Affiliated Firms) of the Form U4 and amend the Form U4 Instructions to account for the new question soliciting RSL information (“RSL Question”).
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Let me share a story. I have a small trading account, less than $1,000. I’m working to build it up, and for that, day trades are crucial. Every decision I make now comes with the added question: “Is this trade worth using one of my limited day trades?” That’s mental overhead, and it doesn’t protect my account—it hurts it.We’re in 2024. We have tools like stop orders to manage risk effectively.
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors.
The rules of Finra need to be changed. They may have been created to help reduce the predatory practices of unscrupulous brokers and protect individuals from such practices, and there may be a need to protect individuals from themselves, but we each bear the responsibility of knowing what we are doing at any given time. I have traded stocks, options, futures and forex. It is a lifelong process,
Hello, I am a student who is interested in trading. PTD rules force me to use riskier trading products (futures/options/kalshi/etc) instead of buying selling equities. Most of my strategies surround the S&P but because I cant trade the S&P more than a couple times a week I am forced to used riskier products that fit my needs. Please change this rule!
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.
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
