FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
