The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
April 2008 Supplement to the Options Disclosure Document
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
Regulatory and Technical notices related to ATS
OTC Transparency Documentation
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
SEC Approves Amendments to FINRA Rule 4570
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
