Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
FINRA Revises the Series 27 and Series 28 Examination Programs
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
