Continuing Education Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
FINRA has replaced the Automated Data Delivery System (ADDS) OTC Reporting Facility Trade Journals (v1.3) document with the FINRA ADDS User Guide v5.0.
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
