Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Interim Pilot Program on Margin Requirements for Credit Default Swaps
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
