2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition.
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
