FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
On October 19, 2012, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice of FINRA District Committee Election and Ballots
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
SEC Approves New Rules Governing Communications With the Public
