FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
SEC Approves Consolidated Telemarketing Rule
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
December 2009 Supplement to the Options Disclosure Document
