FINRA

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)

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System ...

Individual Snapshot Reports Now Available Online