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News + Insights - FINRA Notices

 
Friday, April 9 2021

Regulatory Notice 21-15

Summary With the recent increase in the number of customers seeking to open brokerage accounts and trade options, FINRA reminds members of the requirements for determining whether to approve a... [...]
Friday, March 26 2021

Special Notice – 3/26/21

Summary FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market... [...]
Thursday, March 25 2021

Regulatory Notice 21-14

Summary FINRA warns member firms that, over the past two months, we have observed a sharp increase in new customers opening online brokerage accounts and engaging in Automated Clearing House... [...]
Wednesday, March 24 2021

Regulatory Notice 21-13

Summary This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)). Questions concerning this Notice should be directed to: [...]
Thursday, March 18 2021

Regulatory Notice 21-12

Summary FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing... [...]
Sunday, March 14 2021

Regulatory Notice 21-11

Summary FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions,... [...]