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FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
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).
Foundation Unveils New Website for Mobile Optimization and Enhanced User Experience
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new members to its Board of Directors:
Mari J. Buechner, President and Chief Executive Officer, Coordinated Capital Securities, Inc.;
Laura Fisher, Senior Vice President, VOX Global; and
John W.
Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6) examination as part of the restructuring of the representative-level examination program. The proposed revisions also
Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Good morning. It’s great to have this opportunity to be with you today.
My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I won’t steal Mike’s thunder and tell you everything that he is going to say. Rather, I want to take a step back and take this opportunity to talk about something