SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws; Effective Date: August 20, 2009
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
FINRA Issues Guidance on Master and Sub-Account Arrangements
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Amendments to the Arbitration Rules on Hearing Locations
Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
FINRA Requirements for Subordinations; Availability of New Standard Forms
FINRA Announces Election Results for District Committees, District Nominating Committees
