FINRA Announces Updates of the Interpretations of Financial and Operational Rules
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
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
