FINRA Revises the Series 55 Examination Program
SR-FINRA-2008-052 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 9251 (Inspection and Copying of Documents in Possession of Staff)
Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
The Books and Records section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
FINRA amended NYSE Rule 342.13 to eliminate the requirement that the General Securities Principal Examination (Series 24) be passed after July 1, 2001, in order to be recognized as an acceptable alternative to the General Securities Sales Supervisor Qualification Examination (Series 9/10) for persons whose duties do not include supervision of options or municipal securities sales activities.
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
