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)
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
