Latest News for: finra

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Disciplinary Action 2024084141201 (James Robert Ptacek, Jr.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 24 Apr 2026
Financial Industry Regulatory Authority (FINRA) ... FINRA Rule 3270 states that ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2018056490335 (Frederick Joseph Cammarano III) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 22 Apr 2026
On October 21, 2022, Spartan Representative 2 entered into another AWC with FINRA for violating FINRA Rules 2111 and 2010 by excessively trading four customer accounts at a prior member firm.
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Disciplinary Action 2025087193401 (Joel A. Benanti) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 21 Apr 2026
of the Second Rule 8210 Request to Benanti's personal email address and via FINRA's electronic portal, FINRA Gateway ... of the Third Rule 8210 Request to Benanti's personal email address and via FINRA's electronic portal, FINRA Gateway.
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FINRA Strengthens External Relations Leadership with Two Senior Appointments

Business Wire 20 Apr 2026
WASHINGTON--(BUSINESS WIRE)--FINRA announced today two key additions to our senior leadership team ...
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Understanding the New Intraday Margin Requirements (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Apr 2026
) FINRA has adopted significant changes to its margin rule with potential impacts on active investors ... [...] ... Disclaimer. FINRA - Financial Industry Regulatory Authority Inc.
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FINRA Strengthens External Relations Leadership with Two Senior Appointments (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Apr 2026
WASHINGTON-FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media ... About FINRA ... For more information, visit https.//www.finra.org.
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Disciplinary Action 2022075734201 (Barclays Capital Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Apr 2026
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA. ... Counsel FINRA.
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Regulatory Notice 26-10 (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Apr 2026
FINRA Adopts New Intraday Margin Standards to Replace the Day Trading Margin Requirements ... ▶ FINRA Rule 4210 ... (202) 728-6961 or [email protected] ... Questions may also be directed to [email protected] or the FINRA staff identified above.
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SEC removes huge pattern day trader barrier to allow retail investors to day trade Bitcoin ...

Cryptoslate 19 Apr 2026
Regulators signed off on FINRA's proposal to scrap a framework that long made it harder for smaller investors to make rapid-fire stock trades, replacing it with a system aimed at measuring intraday risk.
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Disciplinary Action 2025085359201 (Brandon J. Still) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Apr 2026
Financial Industry Regulatory Authority (FINRA) ... See FINRA Rules 8310 and 8311 ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Suntex Enterprises, Inc. (OTC: SNTX) Reports Annual Filing, Debt-Free Capital Structure, FINRA Dividend Submission, and ...

Nasdaq Globe Newswire 17 Apr 2026
AUSTIN, Texas, April 17, 2026 (GLOBE NEWSWIRE) -- via IBN --�Suntex Enterprises, Inc. (OTC. SNTX) today announced the filing of its annual financial statements, reporting a completed operational restructuring and a simplified capital structure ... .
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Suntex Enterprises, Inc. (OTC: SNTX) Reports Annual Filing, Debt-Free Capital Structure, FINRA

The Galveston Daily News 17 Apr 2026
AUSTIN, Texas, April 17, 2026 (GLOBE NEWSWIRE) -- via IBN -- Suntex Enterprises, Inc. (OTC. SNTX) today announced the filing of its annual financial statements, reporting a completed operational restructuring and a simplified capital structure ....
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Disciplinary Action 2022076873501 (Peter M. Rosten) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 17 Apr 2026
Financial Industry Regulatory Authority (FINRA) ... See FINRA Rules 8310 and 8311 ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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The new FINRA Gifts Rule (Norton Rose Fulbright LLP)

Public Technologies 16 Apr 2026
... the amendments increase the dollar cap on gifts, codify existing FINRA guidance and make conforming changes to non-cash compensation limits in FINRA Rules 2310 (Direct [...].
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SEC Approves Elimination of Pattern Day Trader Rule and $25,000 Minimum: FINRA

BitRSS 15 Apr 2026
The SEC granted accelerated approval to FINRA's rule change eliminating the Pattern Day Trader designation and its $25,000 minimum equity requirement for day traders ... .

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