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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 26-11
    FINRA is publishing updated interpretations of its margin rule (FINRA Rule 4210) to provide guidance to members in implementing the new intraday margin standards. Correspondingly, FINRA is deleting all interpretations relating to the former day trading margin requirements, which the new intraday margin standards have replaced in their entirety. Also, FINRA has made available educational […]
  • Regulatory Notice 26-10
    FINRA has adopted new intraday margin standards to replace in their entirety the outdated day trading margin requirements, including the day trade count requirements for designating a customer as a “pattern day trader” and the $25,000 pattern day trader minimum equity requirement.
  • Election Notice - 4/6/2026
    The annual meeting of FINRA firms will take place on or about July 13, 2026, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or […]
  • Regulatory Notice 26-09
    In furtherance of the FINRA Forward initiative to support member compliance, FINRA has significantly enhanced Form NMA with improved navigation and document upload capabilities, integrated guidance tools, standardized response fields and clearer questions.

RSS SEC Press Releases

  • SEC Publishes Draft Strategic Plan for Public Comment
    The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient…
  • SEC Announces Four New Members of Investor Advisory Committee
    The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the…
  • SEC Proposes Rescission of Climate-Related Disclosure Rules
    The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s…

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  • REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities” May 18, 2026

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