Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
The present name of the corporation is Financial Industry Regulatory Authority, Inc. (the "Corporation"). The Corporation was originally incorporated as a nonstock corporation under the name of Investment Bankers Conference, Inc., and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on September 3, 1936.
SR-FINRA-2019-017
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2241 (Research Analysts and Research Reports) required by the Fair Access to Investment Research Act of 2017 (“FAIR Act”).
Technical NoticeFINRA ADDS – Trade Journals Are Now Available
June 18, 2019
FINRA has resolved the issue with ADDS, and the Trade Journals are now available.
Questions regarding the notice may be directed to FINRA Market Operations at 866-776-0800.
Week II: Capstone
2024 Program Dates: November 17 – 22
This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
After completing this course, you will be able to:
Week I: Foundation
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.