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August 29, 2022New
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September 2020
FAQ
Announcements
August 29, 2022New
Sensitive Data Warnings in Form U4 and Form U5
Form U4 and Form U5 now display warnings when sensitive information is
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.See the schedule of reporting dates below.2024 Short Interest Reporting DatesSettlement DateDue Date 1
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
December 1999
SEC—Year 2000 Recordkeeping Rule
Effective August 31, 1999, the Securities and Exchange Commission (SEC) adopted SEC Rule 17a-9T (the Rule) relative to Year 2000. The Rule, which was originally proposed in March 1999, is intended to assist broker/dealers, the SEC, self-regulatory organizations (SROs), and the Securities Investor Protection Corporation (SIPC) in identifying all
Disclaimer:
We are providing instructions on how to use your browser to assist you in reading FINRA’s website in languages other than English. These are general instructions on how to use a third-party provider (in this case, Chrome, Safari, Edge, or Firefox) to translate FINRA web pages into other languages. These browsers cannot translate all types of documents and may not provide an exact
FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education and protection in recognition of World Investor Week 2020, a global weeklong campaign held Oct. 5-11, which will be celebrated throughout the entire month of October due to the ongoing pandemic.
This is completely ridiculous. If I have a brokerage account and read the disclosures on my broker's site, I know exactly what I'm doing and getting myself into. There is no need to babysit investors.
This Rule applies to all requests to expunge customer dispute information from the CRD system. Except as otherwise provided in this Rule, all provisions of the Code apply to such expungement requests.
(a) Filing an Expungement Request against a Member Firm
(1) Applicability
An associated person may request expungement of customer dispute information from the CRD system by filing a statement of
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
All capital acquisition brokers are subject to FINRA Rules 2080 and 2081.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
