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 member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
Any data that is communicated publicly should be communicated in the most efficient manner possible. In a industry where data is considered to be so valuable that firms were willing to spend millions of dollars to have their fiber optic cable runs as close as physically possible to the exchanges so they could get a timing advantage, the short interest report being collected only a twice a month
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
• Outside Business Activities—Failure to Comply With Rule Requirements
• Selling Away (Private Securities Transactions)
• Transactions for or by Associated Persons—Failure to Comply With Rule Requirements
Outside Business Activities—Failure to Comply With Rule Requirements
FINRA Rules 2010 and 3270
Principal
E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or difficult to capture or retain, and which may provide no appreciable regulatory benefit? <EA1: Ambiguity
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
Registration Code Classifications
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
