In observance of Christmas, the FINRA Alternative Display Facility (ADF) will be closed on Wednesday, December 25, 2024. In observance of New Year's Day, the FINRA Alternative Display Facility (ADF) will be closed on Wednesday, January 1, 2025.
GeneralDo Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A+ offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with
In observance of Christmas, the ORF System will be closed on Wednesday, December 25, 2024. In observance of New Year's Day, the ORF System will be closed on Wednesday, January 1, 2025.
In observance of Christmas, the TRACE system will be closed on Wednesday, December 25, 2024. In observance of New Year’s Day, the TRACE system will be closed on Wednesday, January 1, 2025.
If a PDT account goes under 25k it should still be allowed to trade with settled cash.Why would you prevent the cash from being used at all and force them to convert it to a cash only account?The margin should simply be removed and the customer should be allowed to continue trading with their cash.
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
Listing of FINRA's Board of Governors.
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
Public GovernorRetiredGovernor Since 2024 Professional ExperienceProfessor, Babson College (1995 – 2023)U.S. Securities and Exchange Commission Director of the Division of Trading Markets (2006 – 2009)Chief Economist (1996 – 1999) Assistant Professor of Finance, Harvard Business School (1989 – 1995)EducationPhD, University of California, Los AngelesMBA, University of
