Late Disclosure Fee Related to Reporting of Judgment/Lien Events
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Interim Pilot Program on Margin Requirements for Credit Default Swaps
