The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3010(b)(2), also known as the "Taping Rule," and NASD IM-8310-2. The proposed amendments to the Taping Rule generally would: (1) permit firms that become subject to the Taping Rule a one time opportunity to adjust their staffing levels to fall below the prescribed threshold levels and thus avoid
Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
SEC Approval and Effective Date for New Consolidated FINRA Rules
Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan
This Guidance assists member firms with continuing membership applications (CMAs) as part of the implementation of a succession plan or an exit from the broker-dealer securities business (which may or may not be connected to a succession plan).
The guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
I have been a Financial Advisor for 12 years and a day trader for the last 3 years. I understand that the PDT rule was put in place to help limit the risk of loss for individual investors however I do not believe it accomplishes that. Most brokerage houses will allow 4X margin to be applied to a brokerage account for investing/trading. By requiring $25,000 minimum equity to be a day trader this
