INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale Orders Executive SummaryNASD is delaying the effective date of amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "Affirmative Determination" Rule)
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
Tuesday, February 68:00 a.m. – 9:30 a.m.General Breakfast9:30 a.m. – 10:25 a.m.Welcome Remarks and Keynote Speaker: Latest Trends in CybersecurityLearn more about the intersection between cybersecurity and emerging technologies such as generative artificial intelligence and how digital advancements will shape the future cyber threat landscape and industry response.10:25 a.m. – 10:45 a.m.
FINRA's Arbitration Awards Online database (“AAO”) demonstrates our commitment to transparency by enabling users to perform web-based searches for FINRA arbitration awards free of charge, seven days a week.
Documents Available in the Arbitration Awards Online Database
In addition to FINRA awards, you can search for historical awards for the:
National Association of Securities Dealers (
Series 50—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.
Series 54 - Municipal Advisor Principal Exam
