Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of settlement day of a trading week. Rule 5.
Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of settlement day of a trading week. Rule 5.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SummaryEffective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.Questions regarding this Notice may be directed to: Amanda Rath, Associate Director, Finance, at (240) 386-
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide relief relating to specified option transactions under FINRA Rule 4210 (Margin Requirements).
The Books and Records section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
