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
FINRA is pleased to announce the U.S. Securities and Exchange Commission's recent approval of FINRA's proposal to expand its transparency initiative for over-the-counter (OTC) equity securities.
Dissemination of Qualified Contingent Trades Reported to FINRA
