FINRA

April 2014 Supplement to the Security Futures Risk Disclosure Statement Implementation Date: ...

FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA ...

SEC Approves Amendments to Equity Trade Reporting and OATS Rules Effective Dates: ...

SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal ...

FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online ...

Upcoming FINRA Board of Governors Election Petitions for Candidacy Due: June 20, ...

FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program ...

FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public ...

A greater spotlight will be placed on FINRA applicants and transfers should the revised supervision rule go into effect. Last week, the SRO's board approved ...