The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting.
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
Following is a schedule of voluntary orientations offered via webinar.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
The FINRA Board of Governors will consider the following rulemaking items at its July 2011 meeting. After the July 14 meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
