Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
FINRA Small Firm Advisory Board Election
Nomination and Election Process to Fill FINRA District Committee Vacancies
Guidance on Social Networking Websites and Business Communications
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
FINRA Revises the Sanction Guidelines
