FINRA issued Regulatory Notice 15-37 requesting comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults.
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Series 28 Examination Program
Proposed Rule Change Relating to the Series 27 Examination Program
FINRA announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds (PRMBs).
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Notice of FINRA District Committee Elections and Ballots
Notice of SFAB Election and Ballots
Proposed Rule to Establish Fees for Funding Portals
Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
