SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes
Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
SEC Approves Consolidated Telemarketing Rule
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
