Recent changes
GovPing tracks 504 sources in this role out of 2,503 total on GovPing, covering Guidance, Enforcement, Rule, FAQ, Notice, and Consultation instruments, with 875 changes recorded in the last 7 days.
Recent enforcement actions include the CFTC banning Fortini $1.3M disgorgement, a Nevada woman sentenced to 54 months for a $100M COVID‑tax fraud, and insurance brokers ordered to pay $135M for ACA fraud. The SEC also secured over $2 M in final judgments against Spartan Trading for offering fraud.
FINRA Proposes Intraday Margin Standards Replacing Day Trading Rules
FINRA has proposed a rule change to replace its current day trading margin provisions with intraday margin standards. This proposal, SR-FINRA-2025-017, would amend FINRA Rule 4210 and eliminate existing day trading margin requirements. The SEC is currently reviewing the proposal.
FINRA proposes rule change on bona fide market making exception
FINRA has proposed a rule change (SR-FINRA-2025-016) to amend FINRA Rule 6830 concerning data reporting under the Consolidated Audit Trail (CAT). The change aims to align reporting requirements with amendments to the CAT NMS Plan regarding the bona fide market making exception under SEC Regulation SHO.
FINRA Amends Annual Reports Extension Policy
FINRA has amended its Annual Reports Extension of Time Request Policy, updating the information required from firms and their auditors. The updated policy, effective December 29, 2025, streamlines the extension process by modifying auditor representation requirements and shifting certain representations to the firm's Principal Financial Officer.
FINRA Final Statements for Broker-Dealers and Investment Advisers
FINRA has made Final Statements available for broker-dealers and investment adviser firms regarding renewal fees for 2026. Firms must review their statements, reconcile any discrepancies, and remit additional payments by January 23, 2026.
FINRA Seeks Comment on Rule Revisions for Investor Protection
FINRA is seeking public comment on proposed rule revisions aimed at enhancing member firms' ability to protect senior investors from financial exploitation and all investors from fraud. The proposed amendments focus on customer account information and temporary delays for suspected fraud, with a comment deadline of March 9, 2026.
FINRA Trade Reporting Enhancements for Fractional Share Transactions
FINRA is reminding firms of upcoming trade reporting enhancements for fractional share transactions, effective February 23, 2026. Members will be required to report fractional share quantities up to six digits after the decimal in a new field.
FINRA Guidance on Negative Consent for Bulk Customer Account Transfers
FINRA has issued guidance to reduce burdens for broker-dealers regarding the use of negative consent for bulk customer account transfers. This notice eliminates the requirement for firms to submit draft letters to FINRA for review and approval, consolidating existing guidance and providing effective practices.
Insider trading charges, final judgment against Kevin Van de Grift
Insider trading charges, final judgment against Kevin Van de Grift
Saeid Jaberian final judgment: $66,749 disgorgement, injunctions
Saeid Jaberian final judgment: $66,749 disgorgement, injunctions
Final judgment against Shannon Illingworth, GP Solutions
Final judgment against Shannon Illingworth, GP Solutions
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891 changes in last 7 days
Latest high priority updates
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510 official sources tracked
Frequently asked questions
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Enforcement actions, guidance updates, and rule changes across every major federal financial regulator. OCC bulletins, FDIC financial institution letters, Fed SR letters, PCAOB standards, CFPB supervisory highlights, and state banking department actions.
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