At the conclusion of an arbitration, an arbitrator may refer any matter to FINRA for disciplinary investigation that has come to the arbitrator's attention during and in connection with the arbitration.
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination, as outlined in a Technical Notice from December 10, 2015.
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
The Series 86 and 87 exams — the Research Analyst Exams — assess the competency of an entry-level registered representative to perform their job as a research analyst.
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
On Friday, April 28, 2017, Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in 271 OTC equity securities at 09:30:00 a.m. E.T. pursuant to FINRA Rule 6440(a)(3) (Extraordinary Event Halt). All impacted securities have been resumed as of 2:55:00 p.m. E.T. and systems are operating normally.
FINRA determined to impose the temporary halt because technical
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
The Series 23 exam — the General Securities Principal Qualification Exam – Sales Supervisor Module (GP) — assesses the competency of an entry-level principal to perform their job as a general securities principal The Series 23 exam is an alternative to taking the General Securities Principal Exam (Series 24) and is appropriate for a candidate who is registered as a General Securities Sales Supervisor (SU) and wants to register as a General Securities Principal.
