FINRA

We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for ...

SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing ...

Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party

Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session ...

Notice of Annual Meeting of FINRA Firms and Proxy

2013 was a good year for FINRA financially. It's flush, with total assets now reaching $2.3 billion, up slightly from $2.2 billion in 2012, according ...

Under pressure from its members, FINRA has revised a proposal requiring members to include a link to the SRO's BrokerCheck service in their electronic communications ...

FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information ...

SEC Approves FINRA Rule Concerning Self-Trades Effective Date: August 25, 2014

New Payments for Market Making Certification Requirement for FINRA Form 211 Effective ...