FINRA

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 ...

Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from joining class-action lawsuits ...

2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

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

Continuing Education Planning