SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
New Rate for Fees Paid Under Section 31 of the Exchange Act
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SEC Approval and Effective Date for New Consolidated FINRA Rule
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
DTCC to Provide FINRA Access to Participant Position Reports
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
