FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
EBS Submissions Following Implementation of the Option Symbology Initiative
Nominees for Vacant FINRA Board of Governors Large Firm Seats
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
FINRA Provides Guidance on its Enforcement Process
New Rate for Fees Paid Under Section 31 of the Exchange Act