Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
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
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
SR-FINRA-2009-017 - Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook
SR-FINRA-2008-055 - Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
Mark-Up Rule and Exempted Securities
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
FINRA Rule 0150
FINRA Rule 2121
Suggested Routing
Compliance
Fixed Income
Legal
Operations
Systems
Trading
Key
NASD has filed with the SEC a proposed rule change to amend: (1) Rule 6250 to provide for the dissemination of transaction information on additional Investment Grade TRACE-eligible securities under the Rule 6200 Series (also known as the Trade Reporting and Compliance Engine ("TRACE") Rules); (2) Rule 6230 and Rule 9610(a) to provide NASD staff the authority to grant exemptive relief
Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
