FINRA

2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

Upcoming FINRA Board of Governors Election Petitions for Candidacy Due: June 11, ...

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...

FINRA and the Securities and Exchange Commission (SEC) issued a report to help broker-dealers conduct an analysis for assessing, crafting, or refining their policies and ...

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Continuing Education Planning

FINRA Survey to Create the Securities Trader Qualification Examination

FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules ...

A lot has changed in the markets in the last 32 years. With a nod to the fact that cross-market proprietary trading firms now account ...

Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies