FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
January 2012 Supplement to the Options Disclosure Document
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
New Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
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
