Displaying 27361 - 27370 of 28151 Results
Continuing Education Planning
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Guidance to Members Affected by Hurricane Harvey
SEC Approves Amendments to FINRA Rule 4570
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Continuing Education Planning
Dissemination of Qualified Contingent Trades Reported to FINRA
Summary
Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of information—confidential or
Continuing Education Planning