SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
New S901 Regulatory Element Continuing Education Program
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
FINRA Small Firm Advisory Board Election
Upcoming Election to Fill FINRA District Committee Vacancies
FINRA Revises the Series 16 Examination Program
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
