Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Treatment of Non-Margin Eligible Equity Securities
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
FINRA Revises Sanction Guidelines
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
Notice of Annual Meeting of FINRA Firms and Proxy
