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There are dozens of key economic indicators in the U.S. alone. Here, we'll take a look at those frequently cited to help you make sense of the headlines.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2017–2021
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2017–2021
Figure 1.4 Securities Industry Registered Individuals by Type of
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
Comment Period Expires: October 31, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed NASD
The speed of change in the financial industry means that firms must work diligently to remain current—and a great way to do that is by attending events like this, sharing ideas with your peers and discussing your concerns with regulators. This is a great point in the year to reflect on what has transpired so far in 2012 from a regulatory perspective and discuss many current areas of focus for FINRA.
(a) Initiation by FINRA
(1) Issuance of Notice of Disqualification or Ineligibility
If FINRA staff has reason to believe that a disqualification exists or that a member or person associated with a member otherwise fails to meet the eligibility requirements of FINRA, FINRA staff shall issue a written notice to the member. The notice shall specify the grounds for such disqualification or
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and External Relations. Jennifer Piorko Mitchell was promoted to Vice President, Corporate Governance.
In a newly created role, Ms. Asquith will continue to oversee the Office of the Corporate Secretary, as
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned an additional eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities.