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On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
Financial-Readiness Program Helps Military Spouses Foster Their Own Careers
WASHINGTON — The FINRA Investor Education Foundation's Military Spouse Fellowship Program today opened the application process for its 2016 class of Military Spouse Fellows. The program provides military spouse recipients with the education and training needed to earn the Accredited Financial Counselor® (AFC®)
A member firm that routes an unsolicited customer order for a variable life settlement to another member firm that is permitted to engage in such activity would not constitute a material change in the routing firm’s business operations that would require it to file a continuing membership application, provided that the stated conditions are satisfied.
WASHINGTON, D.C. — The Financial Industry Regulatory Authority's Board of Governors today approved a proposal designed to help retail customers understand and compare transaction costs in fixed-income securities. The proposal, subject to the approval of the Securities and Exchange Commission, would require member firms to disclose on retail customer confirmations the "mark-up" or
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration/Mediation
Dispute Resolution
Executive Summary
NASD Dispute Resolution, Inc. (NASD DR) recently established Orlando as the third hearing location within the State of Florida. Boca Raton and Tampa will continue as hearing locations in Florida.
The Southeast Regional
Rulemaking item discussed at the February 2016 meeting: fixed income pricing disclosure.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registration
Senior Management
Continuing EducationIM-1000-2
Executive Summary
NASD Regulation, Inc. (NASD Regulation) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®) IM-1000-2 to codify the staff's position regarding the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
INFORMATIONAL
Injunctive Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Arbitration
Employment Disputes
Injunctions
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10335 of the NASD Code of Arbitration Procedure