Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent
For firms with test candidates using company-issued equipment on their corporate networks to take their exams online, your firm's technology team should be consulted about what it will take to ensure that the ProProctor application will successfully run on the day of the candidate's exam.
Please note that Prometric's ProProctor
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 2210-4 ("IM-2110-4") to limit the use of FINRA's name and any other corporate name
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the claimant's or the claimant's
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
Let me make my own informed decisions. I need more choices.
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
