FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Notice of Annual Meeting of FINRA Firms and Proxy
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Reporting Reversals of OTC Trades in Equity Securities
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
