FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight role and the benefits to investors.
a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule
JD Supra: FINRA Adopts New Residential Supervisory Location Rule on Remote Work for Associated Persons
FINRA Adopts New Residential Supervisory Location Rule on Remote Work for Associated Persons
JD Supra: Remote and Hybrid Work: FINRA Announces Effective Dates of New Rules
JD Supra: FINRA Meets the Marketing Rule—Mostly: Performance Projections and Targeted Returns Under Proposed Amendments to Rule 2210
FINRA Meets the Marketing Rule—Mostly: Performance Projections and Targeted Returns Under Proposed Amendments to Rule 2210
WASHINGTON--(BUSINESS WIRE)--FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and ...
The current rules that govern day trading in customer margin accounts were adopted nearly a quarter of a century ago, FINRA said.
The National Law Review: United States: Saw This Coming: FINRA Proposes Rule Change to Permit Projected Performance
United States: Saw This Coming: FINRA Proposes Rule Change to Permit Projected Performance
FINRA is pushing back on criticism of proposed changes to its rules on reps’ outside business activities, including claims that advisors would have to clear any of their own purchases of crypto assets ...
FINRA is getting rid of the 2001 Pattern Day Trader (PDT) rule and replacing it with new intraday margin requirements. Here’s what it means for day traders and brokerage firms.
FINRA has eliminated its decades-old Pattern Day Trader rule, removing the $25,000 minimum equity requirement and replacing it with intraday risk-based margin checks. The change is expected to lower ...