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              FINRA Unscripted Feeds

              FINRA News Releases

              FINRA Notices

              • Regulatory Notice 21-15
                by Regulatory Notice 21-15 on April 9, 2021 at 12:00 am

                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 customer to trade options. Regardless of whether the […]

              • Special Notice – 3/26/21
                by Special Notice – 3/26/21 on March 26, 2021 at 12:00 am

                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 integrity and investor […]

              FINRA Rule Filings

              • SR-FINRA-2020-028
                by SR-FINRA-2020-028 on April 18, 2021 at 2:40 am

                Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New […]

              • SR-FINRA-2020-033
                by SR-FINRA-2020-033 on April 18, 2021 at 2:40 am

                Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit […]

              SEC Press Releases

              • Gary Gensler Sworn in as Member of the SEC
                on April 17, 2021 at 4:20 pm

                Gary Gensler was sworn into office today as a Member of the Securities and Exchange Commission by U.S. Senator Ben Cardin. He was nominated to Chair the SEC by President Joseph R. Biden on February 3, 2021 and confirmed by the U.S. Senate on April […]

              • SEC Reopens Comment Period for Universal Proxy
                on April 16, 2021 at 7:15 pm

                The Securities and Exchange Commission today voted to reopen the comment period on the proposed rules for the use of universal proxy cards in all non-exempt solicitations for contested director elections. “This is an important step toward […]

              SEC.gov Updates: Litigation Releases

              • Lev Parnas and David Correia
                on April 15, 2021 at 9:38 pm

                SEC Obtains Final Judgment Against Fraud Guarantee Co-Founder for Engaging in Fraudulent Securities Offering

              • Martin Silver
                on April 15, 2021 at 8:53 pm

                SEC Charges IIG Co-Founder Martin Silver With Fraud