FINRA adopted amendments to provide margin relief for specified index option positions, referred to as "protected options."
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A firm settled FINRA charges for (i) allowing paid influencers to make posts on social media that involved unfair, exaggerated or false claims and (ii) failing to review such posts prior to their posting.
A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.
The SEC extended to March 15, 2024 the period for consideration on FINRA-proposed amendments to margin requirements for certain short options.
FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.