Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect
The Advertising Regulation Department (the “Department”) protects investors by helping to ensure that broker-dealers’ communications with the public are fair, balanced, and not misleading. The Department reviews communications such as websites, search advertisements, brochures, commercials, and print communications for compliance with applicable FINRA, SEC, MSRB, and SIPC rules through four key
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. Details are provided in the
Guidance on Social Networking Websites and Business Communications
.floating-examboxBorder {
display: inline-block;
width: 100%;
margin: 10px;
padding: 10px;
background-color: #f2f2f2;
border: 1px solid #d3d2d2;
font-size:.75em;
}
FINRA has identified instances in which firms that carry customers’ alternative investment assets held in IRAs failed to apply the requirements of financial and operational rules applicable to those assets.20
Last week, we had the pleasure of hosting many of you at our Annual Conference—an event attended by more than a thousand individuals from around the country. I enjoyed meeting with members representing every corner of our industry and learning about the opportunities and challenges ahead for investors, the markets, and the brokerage industry.
