Notice of FINRA District Committee Elections and Ballots
Comments on Day Trading Disclosure StatementPlease see comments with underline or strikethrough.Day-Trading Risk Disclosure StatementYou should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the aggressive and regular transmission by a customer of intra-day
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
The following lists of the ten most active investment grade, high-yield and convertible corporate bonds is published for each market day. Please refer to Systems Calendar.
In observance of Good Friday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
FINRA’s rules should be modernized to address economic costs, evolving markets, technology advancements, and regulatory inefficiencies. Below are key areas for modernization, including specific rules, guidance updates, and regulatory overlaps that warrant attention.1. Focus Areas for Modernizing FINRA RulesSeveral FINRA rules are outdated, overly burdensome, or fail to account for modern trading
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
