New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
SEC Approves Amendments to FINRA’s Code of Procedure
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
