The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Regulation NMS Plan to Address Extraordinary Market Volatility Plan Frequently Asked Questions
Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Guidance to Members Affected by Hurricane Sandy
Guidance for Firms Potentially Affected by Hurricane Isaac
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
