FINRA

SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding ...

Notice of FINRA District Committee Elections and Ballots Ballots Due: November 14, ...

Notice of Election and Ballots for FINRA Small Firm NAC Member Seat ...

Notice of SFAB Election and Ballots Ballots Due: November 14, 2014

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

Continuing Education Planning

FINRA’s arbitration forum has myriad problems, many of which would be solved by allowing investors to pursue their grievances in court, reads a report issued ...

FINRA member firms don’t always have to settle disputes with clients via FINRA arbitration, a federal court has ruled. This was the second such ruling ...

Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process

New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)