FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
On January 4, 2010, FINRA will implement redesigned versions of the S101 and S106 Regulatory Element Programs in an effort to improve and keep the Continuing Education Program current and relevant. The S101 Regulatory Element Program(i.e., the General Program) is required for all registration categories except for Series 6 or supervisory/principals. The S106 Regulatory Element Program is required
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice of SFAB Election and Ballots
SEC Approval and Effective Dates for New Consolidated FINRA Rules
FINRA Provides Guidance on Pandemic Preparedness
SEC Approves Amendments Regarding Best Execution and Interpositioning
