FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The Net Capital topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
A free market implies free trading with all available instruments. The limitations are a financial dictatorship. I will not trust a market that changes its rules every now and then in favor of some special interests and government convenience. You better focus on making the same rules for everyone and NOT make select categories with "special" rules
INFORMATIONAL
Series 55 Examination
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registration
Trading & Market Making
Training
Series 55 Examination, Equity Trader
Executive Summary
The requirement for Nasdaq® and/or over-the-
Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes certain requirements on firms that are designed to protect customer funds and securities. Firms that are obligated to maintain custody of customer
The FINRA Disciplinary Actions Online system provides the general public with access to FINRA Disciplinary Actions ("Actions").
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading
Bona Fide Market Making
Short Sales
Rule 5100
IM-5100
Executive Summary
Rule 5100 generally prohibits a member from effecting short sales
in NASDAQ Global Market (NGM) securities1 otherwise than on an
exchange for a customer account, or the
