| FINRA.org

SR-FINRA-2026-016

Rule Filing Status: Approved

Rule change to amend FINRA Rule 4515.01 to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.

FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud

WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data and Investments Explorer, as well as enhanced Risk and Scam Meters.
Subscribe to