Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
18a-3(a) Every security-based swap dealer and major security-based swap participant for
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Publication Date: March 24, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-4 Records to be preserved by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
Summary of Exemption Decision Re: Rule 2710 Issued by Corporate Financing Department
Exemption granted to extend exemption previously granted from Rule 2720(l), to [Firm] on June 14, 1999 to include offerings of warrants and purchase contracts and to units consisting of debt securities, warrants, and/or purchase contracts.
FINRA Rule 4111(b) requires the Department of Member Supervision (Department) to calculate annually a member firm’s "Preliminary Identification Metrics" to determine whether the firm meets the "Preliminary Criteria for Identification."1 A key driver of that is whether a member firm’s Preliminary Identification Metrics meet quantitative, risk-based "Preliminary
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
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Publication Date: March 31, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-5 Reports to be made by certain brokers and dealers.This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12 registered
Guidance on Social Networking Websites and Business Communications
The FINRA Securities Helpline for Seniors is a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments.
