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 failing to maintain minimum net capital and for failing to file same-day notifications of its net capital deficiencies.
The SEC extended to March 15, 2024 the period for consideration on FINRA-proposed amendments to margin requirements for certain short options.
FINRA reminded firms that SEC rules govern how a firm's net worth must be calculated, recorded and reported. In a Regulatory Notice, FINRA offered guidance on applying financial accounting standards to revenue recognition from contracts with customers.
A broker-dealer settled charges with FINRA for failing to take net capital charges on loans for which the broker-dealer acted as the guarantor.