Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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 Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Series 28 Examination Program
Proposed Rule Change Relating to the Series 27 Examination Program
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Notice of FINRA District Committee Elections and Ballots
Notice of SFAB Election and Ballots
