FINRA is issuing this OATS Report to further describe members’ OATS reporting obligations when handling orders on an agency basis.
FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA has developed online guides to help firms understand how to use some of FINRA’s report cards. FINRA will continue to publish online guides as new report cards become available.
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
