NASD Regulation, Inc., has filed with the SEC revisions to the examination specifications and study outline for the Investment Company Products/Variable Contracts Limited Principal (Series 26) examination program. The proposed revisions would update the material to reflect changes to the rules, regulations, and practices covered by the examination. The proposed revisions are reflected in the
NASD Regulation, Inc., has filed with the SEC proposed revisions to the study outline and examination specifications for the General Securities Principal (Series 24) and the Corporate Securities Limited Representative (Series 62) qualification examinations to reflect changes to the rules, regulations, and practices covered by these examinations. The question banks for the Series 24 and 62
FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).
The CE Regulatory Element Report is published each quarter for any firm that has had at least one representative take a Regulatory Element CE session during the quarter. The report provides information about the firm's performance as well as industry performance during the quarter for comparison.
Effective October 1, 2007, the fee for processing each set of fingerprints submitted by a member firm to FINRA will decrease from $35 to $30.25.
August 16, 2001In an effort to reduce the number of duplicate email files submitted to OATS, the system will now send back two emails to each firm that transmits FORE files via email. The first email simply notifies the transmitting entity that OATS received your email and will process your file. The second email continues to provide the status of the FORE file as we do today.Firms are asked not
These report cards will help firms track their compliance with key equity trading rules related to CAT, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
NASDR has filed with the SEC a proposed rule change to Schedule A to the By-Laws and Rule 2710 of the NASD to delete the provision mandating that Corporate Financing filing fees be paid in the form of a check or money order.
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
