INFORMATIONAL
Annual Compliance Certification and Designation of Chief Compliance Officer
Compliance Date: December 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
CCO
CEO
Certification
ComplianceRule 3013
The Neutral Corner - Volume 1—2022
FINRA Disclosure Reporting Boot Camp Schedule & How to Register
FINRA’s Diversity Leadership Summit provides a forum for diversity practitioners and business leaders in the industry to share ideas and effective practices to promote inclusion in the workplace.
FINRA’s 2022 Diversity Leadership Summit took place virtually October 25-27. Each day, more than 1,200 participants learned from expert diversity, equity and inclusion thought leaders and industry
John Gannon Testimony - July 16, 2008: Testimony Before the
Special Committee on Aging
United States Senate
The Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
NASD Creates Two New Exams—Equity Trading And Government Securities
The NASD® Board of Governors has approved the creation of two new qualification exams for securities industry personnel. The new exams, one for Equity Securities Traders and the other for Government Securities Representatives, join an existing battery of tests that NASD Regulation, Inc. (NASD RegulationSM) administers to qualify
The Neutral Corner—Volume 4, 2021
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
