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Displaying 11 - 20 of 11074 Results
Key Topic
March 7, 2019
Regulation M Filings
The SEC's Regulation M is designed to prevent manipulation by individuals with an interest in the outcome of an offering, and prohibits activities and conduct that could artificially influence the market for an…
Key Topic
Regulation T Filings
The Federal Reserve Board's Regulation T and SEC Rule 15c3-3 provide for the possibility of extensions of credit by broker-dealers to investors when they have not promptly paid for a securities transaction.…
Key Topic
Corporate Financing
Overview
Rules
Notices
Guidance
News Releases
Investor Education…
Key Topic
March 9, 2017
Consolidated Audit Trail (CAT)
SEC Rule 613 requires FINRA and the national securities exchanges to jointly submit a National Market System (NMS) plan detailing how they would develop, implement and maintain a consolidated audit trail…
Arbitration and Mediation
Expungement of Customer Dispute Information
Expungement, as an extraordinary remedy, should be recommended only in circumstances in accordance with FINRA rules to remove clearly inaccurate customer dispute information from the record of…
Key Topic
August 21, 2020
Gifts, Gratuities and Non-Cash Compensation
Overview
Rules
Notices
Guidance
News Releases
Investor Education…
Oversight & Enforcement
EXPLORE THIS SECTION
FINRA Enforcement works on the front lines of investor protection…
Key Topic
April 27, 2020
COVID-19 / Coronavirus
FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.
FINRA is committed to providing guidance, updates and other…
Key Topic
November 19, 2019
Advertising Regulation
Overview
Rules
Notices
Guidance
News Releases
Investor Education…
Filing and Reporting
Short Interest Reporting
Overview
Rules
Notices
Guidance
News Releases
Investor Education…