Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
Mary Schapiro Remarks From SEC's Third Annual Senior Summit
January 2011 Supplement to the Options Disclosure Document
Firms do not receive hard copy fingerprint card search results. Instead, firms receive the dispositions, including CHRI details, electronically in their "Fingerprint Status Received from FBI Queue."
Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
