FINRA Revises the Sanction Guidelines
Technology Changes for Reporting Clearing Methods and Arrangements
New S901 Regulatory Element Continuing Education Program
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
Reporting Reversals of OTC Trades in Equity Securities
New Rate for Fees Paid Under Section 31 of the Exchange Act
The following glossary of terms is intended only for use by BrokerCheck users to assist them in better understanding a BrokerCheck report. Please note that these terms may have slightly different or more specific meanings in other contexts.
