Proposed Rule Change to Remove the Deadline by which Eligible Registrants Must Complete a Firm-Element Continuing Education Requirement to Engage in Security Futures Business and the Reference to a Revised Examination
November 30, 2015
Regulatory Notice 15-49
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
FINRA handles more than 99 percent of the securities-related arbitrations and mediations in the U.S. through its network of more than 70 hearing locations, including at least one in all 50 states, Puerto Rico and London.
FINRA's Dispute Resolution division maintains a roster of more than 6,400 arbitrators and nearly 250 mediators around the country