FINRA

New Rate for Fees Paid Under Section 31 of the Exchange Act ...

FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers ...

SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and ...

You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...

SEC Approves New Requirements for Alternative Trading Systems Implementation Dates: May 12, ...

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) ...

SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants ...