Remarks From Baruch College’s Financial Markets Conference
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
CE Online and S101 Personalization
FINRA to Require Electronic Submission of Subordination Approval Requests
Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
FINRA said today that Chairman and CEO Richard Ketchum, 64, has announced his plan to retire in the second half of 2016. The Board of Governors will conduct a search for his successor that will take into consideration internal and external candidates.
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
