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Displaying 11051 - 11060 of 11074 Results
Investor Education
Margin Statistics
Pursuant to FINRA Rule 4521(d), FINRA member firms carrying margin accounts for customers are required to submit, on a settlement date basis, as of the last business day of the month, the following customer information…
Compliance Tools
Preferred Pricing Program
The Preferred Pricing Program is a resource created to assist firms’ compliance efforts by finding, reviewing and discounting third-party tools and services.…
Article
Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 3/1/2021 through 3/31/2021
B
BAC FLORIDA INVE
BAC FLORIDA INVESTMENTS
NAME CHANGED TO: BRADESCO BAC FLORIDA INVESTMENT CORP.
BAC FLORIDA INVE
BRADESCO…
Arbitration and Mediation
Arbitrator Experience Survey
FINRA continually evaluates its arbitrators and the hearing process in an effort to improve the effectiveness of its arbitration program. As part of this effort, FINRA encourages arbitrators to complete the Arbitrator Experience Survey at the conclusion of every case, which can be submitted through the DR Portal. In the portal, go to the "Drafts & Submissions" tab for the associated case, select "Arbitrator…
Rule Filing
July 6, 2021
SR-FINRA-2021-018
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
SR-FINRA-2021-018
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules…
Rule Filing
Daily Short Sale Volume Files
The Daily Short Sale Volume Files provide aggregated volume by security for all short sale trades executed and reported to a TRF, the ADF, or the ORF during normal market hours for public dissemination…
Article
Short Sale Volume Data
Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade…
Rule Filing
June 9, 2021
SR-FINRA-2021-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member firm has…
Rule Filing
November 16, 2020
SR-FINRA-2020-041
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) adopt FINRA Rule 4111 (Restricted Firm Obligations) to require member firms that are identified as “Restricted Firms” to maintain a deposit in a segregated account from which withdrawals would be restricted, adhere to specified conditions or…
AppSupportDoc
ADF Regulation SHO - Short Sale Trade Data
Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (OTC) trades in exchange-listed securities reported to FINRA’…