Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 14, 1992, the Securities and Exchange Commission (SEC) approved an amendment adding new Section 45 to Article III of the Rules of Fair Practice requiring members to send account
Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Proposed Rule Filing Relating to Simplified Arbitration
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to postpone until February 2, 2015, the implementation date of the requirement that alternative trading systems ("ATSs") use unique market participant identifiers ("MPIDs") when reporting
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
