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Regulatory Notice 14-31
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
Dispute Resolution Subscriptions
Dispute Resolution Subscriptions
A Conversation With FINRA Chair Scott Curtis
At the 2025 FINRA Annual Conference on May 14, FINRA Chair Scott Curtis discusses topics of interest to FINRA member firms and other stakeholders, in conversation with President and CEO Robert Cook.
Regulatory Notice 08-01
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
Remarks from the SIFMA C&L New York Regional Seminar
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
Regulatory Notice 08-67
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
J Bannon Comment On Regulatory Notice 22-08
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
Rule 311T Formation and Approval of Member Organizations
(b) (5) OFFICERS /01 Reserved. /02 Reserved. /03 Reserved. /06 Limitations on Principal Executives Principal Executives may be part-time employees, subject to the prior approval of the member organization pursuant to Exchange Rule 346(e). (f) PRINCIPAL PLACE OF BUSINESS /01 Criteria In order to satisfy the rule's requirement that a member organization's principal place of
Rule 311 Formation and Approval of Member Organizations
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule. (b) (5) OFFICERS /01 Reserved. /02 Reserved. /03 Reserved. /06 Limitations on Principal Executives Principal Executives may be part-time employees, subject