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FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Dr. Cesar Escalante’s pioneering research into racial and gender biases in agricultural lending helped earned him the 2022 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, hear from Dr. Escalante about his research, his dedication to mentorship and more.
FINRA Dispute Resolution Services is providing this Resource Guide to help arbitrators conduct effective virtual arbitration hearings via the Zoom platform.
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and Examination Priorities Letter
(the Priorities Letter). This letter provides
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule