FINRA

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

Changes to Qualification Examination Fees Effective Date: April 1, 2015 ...

Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...

SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA ...

FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies ...