Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Rule Change to Revise the Series 24 Examination Program
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
Membership Application Time Frames
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's April 24 Board of Governors meeting.
The Trading Examinations Unit (“TEU”) within the Trading and Financial Compliance Examinations (“TFCE”) group of the Market Regulation Department at FINRA is conducting a review of processes and procedures of ABC Securities LLC (“the Firm”) in connection with order routing and execution quality of customer orders in exchange listed stocks.
