Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
As referenced in FINRA's Annual Priorities Letter, conflicts of interest represent a recurring challenge that contribute to compliance and supervisory breakdowns which can lead to firms and registered representatives, at times, compromising the quality of service they provide to clients.
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 Revises the Series 4 Examination Program
Download the newly-published specifications for the data collection requirements of the Tick Pilot NMS Plan.
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
