The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
The Reg NMS Trade Through Report Card is a monthly statistical report detailing the transactions in NMS Securities that appear to have been reported by your firm to a Trade Reporting Facility ("TRF") or to FINRA's Alternative Display Facility at a price that traded through at least one protected best bid or offer at the respective time of execution. If non-compliance with the Order
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The fixed income distributions file is a cumulative list of distributions that have been announced per calendar year going back to 1/1/2017. Distributions include cash, stock and in kind distributions as a result of a bankruptcy reorganization plan, default interest payments, or other distributions in fixed income securities.FINRA’s Market Operations Department reviews and processes
In observance of Martin Luther King, Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 20, 2025. Affected applications include:Alternative Display Facility (ADF)Over-the-Counter Reporting Facility (ORF)Trade Reporting and Compliance Engine (TRACE)FINRA/Exchange Trade Reporting Facilities (TRFs)As stated in the data feed interface
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6100.
Social isolation, whether voluntary or involuntary, has long been a leading factor contributing to the financial exploitation of older investors. FINRA, NASAA, the SEC's Office of Investor Education and Advocacy, NFA and the CFTC’s Office of Customer Education and Outreach are continuing to raise awareness of the devastating impact social isolation can have on senior investors and offer tips that can help.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)).
I have traded in Indian stock market for over 5 years, where there is no PDT restrictions such as in US.I have traded in US stock market for over 6 years and the PDT rule has never helped me growing my account. I trade based on technical analysis on a 15m range. Due to PDT rule, I can't exit a profitable position but only to end up with losing money on the position the next day. It doesn
