Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
FINRA has replaced the Automated Data Delivery System (ADDS) OTC Reporting Facility Trade Journals (v1.3) document with the FINRA ADDS User Guide v5.0.
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules & Notices
FINRA Rule 4311
Regulatory
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA's Dispute Resolution forum is a fair, efficient and cost-effective system to resolve disputes between and among investors, brokerage firms and individual brokers.
We have an aggressive recruitment campaign in place to seek individuals from diverse backgrounds to serve as arbitrators. Ongoing recruiting initiatives involve more than 100 organizations nationwide reaching out to all
WASHINGTON—The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the first Compliance Outreach Program for Municipal Advisors that will take place in Chicago, IL, on November 3, 2014.
The SEC's Office of Compliance Inspections and Examinations, in
