Naomi Ellsworth
Naomi Ellsworth writes for Regbi Digest and other Independent Journal publications, covering bank regulation and consumer credit and broker-dealer compliance and FINRA. Reporting under this byline is prepared by the Independent Journal editorial desk from primary sources, with AI assistance, and reviewed under our editorial policy.
4 articles
FINRA rule change widens TRACE affiliate trade indicator
FINRA Regulatory Notice 26-16, issued August 26, 2026, extended the TRACE affiliate principal transaction indicator to bond trades with member affiliates.
FINRA regulatory notice seeks input on best execution update
FINRA Regulatory Notice 26-15, issued July 24, 2026, asked how Rule 5310 best execution guidance should change if Reg NMS trade-through rules are rescinded.
FINRA regulatory notice 26-12 sets rules for rep-owned PSEs
FINRA Regulatory Notice 26-12, issued June 9, 2026, explained how its rules apply when registered reps use personal services entities under SEC staff relief.
FINRA rule change scraps pattern day trader $25,000 minimum
FINRA Regulatory Notice 26-10, issued April 20, 2026, replaced pattern day trading margin rules and the $25,000 equity minimum with intraday margin standards.