Notice to Members FYI December 1996
December FYI
Published Date:
- SEC Limit Order Handling Rules Effective January 10, 1997
- Correction To Disciplinary Actions For October
- SEC Approves New Telemarketing Rules
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.