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
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Notice of Annual Meeting of FINRA Firms and Proxy
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
New Rate for Fees Paid Under Section 31 of the Exchange Act
