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Rule Filing Status: Approved

A proposed rule change to amend FINRA Rule 4210 to replace its current day trading margin provisions with modern intraday margin standards.  As such, the proposed rule change would eliminate paragraph (f)(8)(B) under Rule 4210 together with associated provisions relating to the day trading margin requirements under paragraphs (b), (f)(10) and (g)(13), would establish new paragraphs (a)(17) through (a)(19), new paragraph (d)(2) and new paragraphs (g)(1)(J) and (g)(1)(K), and would make minor conforming amendments.  

Rule Filing Status: Filed for Immediate Effectiveness

Proposed rule change to amend paragraph (d) (Notice) of FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) to specify that FINRA will deliver electronically its requests for information and testimony to member firms through FINRA Gateway.

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail costs of the National Market System Plan Governing the Consolidated Audit Trail for the period from May 1, 2026 through December 31, 2026.

Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022 that were not previously invoiced via Historical CAT Assessment 1