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December 8, 2009 karen

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RSS FINRA Notices

  • 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    FINRA has adopted new intraday margin standards to replace in their entirety the outdated day trading margin requirements, including the day trade count requirements for designating a customer as a “pattern day trader” and the $25,000 pattern day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.
  • Regulatory Notice 26-08
    The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

RSS SEC Press Releases

  • SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
    The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The…
  • Chairman Atkins Launches 'Material Matters' Podcast
    The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
  • SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
    The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open…

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