Remarks From the Consumer Federation of America Consumer Assembly
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Notice of Annual Meeting of FINRA Firms and Proxy
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature
SUGGESTED ROUTING*
Legal & ComplianceOperationOptionsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
Guidance on Blogs and Social Networking Web Sites
SEC Approves Amendments to Rules Governing Communications With the Public
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Last modified: June 15, 2022
The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
