Remarks from the FINRA Annual Conference
Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Remarks About the National Financial Capability Study
View number of cases and arbitrators per hearing location through the previous month.
As you prepare to invest, you'll need to assess your net worth. It's not hard: add up what you own and subtract what you owe. Creating a net worth statement, and updating it each year, will help you monitor your financial progress and meet financial goals. It will also enable you to calculate how much you have (or don't have) to invest.
The first step in this process is to
Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Rulemaking Items for Discussion at the February 2014 Meeting
Web Delivery of the Continuing Education Regulatory Element ProgramFINRA has transitioned the delivery of the Continuing Education (CE) Regulatory Element to an online format. The CE Program provides participants with the flexibility to satisfy their CE Regulatory Element training requirement from a home or office computer—anytime, anywhere. Participants complete a computer-
Posted: March 26, 2020
The latest edition of the OATS Reporting Technical Specifications dated March 26, 2020 is now available.
This edition includes updates related to the onboarding of the Long-Term Stock Exchange. The changes will be effective in the OATS Certificate Test Environment on April 24, 2020 and in the OATS Production Environment on May 15, 2020.
In addition,
