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WASHINGTON – The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons.
The CE Council—which is composed of representatives of the securities industry and securities industry self-regulatory organizations (SROs), including FINRA—develops uniform continuing
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its mission of investor protection and market integrity. The announcement builds on an initiative FINRA launched last year to improve communication with the securities industry around fintech. In addition, FINRA requests comment on certain fintech areas
We publish The Neutral Corner to provide arbitrators and mediators with current updates
on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Bari Havlik as Executive Vice President for Member Supervision. In that capacity, Havlik will be responsible principally for leading FINRA’s Member Regulation program, which includes surveillance and examination programs for member firms. She will replace Susan Axelrod, who is leaving FINRA after 28
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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Senior ManagementLegal & Compliance
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the violations
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Hello, and good day to you. This was a very involved read, and thanks to the hands that prepared it. I am a "retail investor", and I would just like to say, don't tell me how to spend my money under the guise of "offering protections to the less wealthy". Any regulations regarding "complex products" should deal solely with the broker of such products. If I'