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Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Information Notice - 11/26/12
Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
Information Notice - 11/20/12
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
Information Notice - 10/19/12
On October 19, 2012, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.
Information Notice - 8/28/12
Guidance for Firms Potentially Affected by Hurricane Isaac
Safeguarding Your Financial Information: An Identity Theft Prevention Checklist
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
Information Notice 8/17/12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Information Notice - 4/13/12
Continuing Education Planning
Information Notice - 4/2/12
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations