Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
The OTC Reporting Facility (ORF) is scheduled to migrate to new technology on September 15, 2014. On this July 16 free conference call about the migration, FINRA staff:
The FINRA Board of Governors will consider the following rulemaking items at its September 2013 meeting.
Proposed Rule Change to Revise the Series 4 Examination Program
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
In order to help firms manage fingerprint requirements for individuals, Fingerprint and Accounting Reports are available on Web CRD, as are the Firm Notice Queues.
Rule 4530(f) requires firms to promptly file with FINRA copies of specified criminal actions, Civil complaints and arbitration claims.
