FINRA

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

FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules ...

FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules ...

Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4) Effective Date: ...

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR) Implementation ...

SEC Approves New Supervision Rules Effective Date: December 1, 2014 ...