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FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Nomination of a Small Firm NAC Member Candidate
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Continuing Education
Legal & Compliance
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Continuing Education
Firm Element
Continuing Education
Executive Summary
In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in the
FINRA Announces Results of SFAB, NAC and District Committee Elections
Since October 1, 2007, the SEC has been operating under a continuing resolution for fiscal year 2008. As such, the Section 31 fee will remain at $15.30 per million until further notice.
DTCC to Provide FINRA Access to Participant Position Reports
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Announces Results of SFAB, NAC and District Committee Elections
For Your Information
Change to Form U4 Regarding the Reporting of Judgment/Lien Events