On January 4, 2010, FINRA will implement redesigned versions of the S101 and S106 Regulatory Element Programs in an effort to improve and keep the Continuing Education Program current and relevant. The S101 Regulatory Element Program(i.e., the General Program) is required for all registration categories except for Series 6 or supervisory/principals. The S106 Regulatory Element Program is required
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with
Regulators should not be deciding investment strategies for families. They should be making it easier for these families to invest smaller amounts of money in the market. It's high time all investors regardless of their income be allowed to purchase fractional shares.
They shouldn't be imposing special processes like testing investor knowledge of ETFs but rather guide a
At FINRA’s annual conference on May 13, 2025, President and CEO Robert Cook discusses the FINRA Forward initiative and other topics of interest to FINRA member firms and other stakeholders, in conversation with Kayte Toczylowski, VP, Member Relations and Education.
Report cards created for firms to monitor timeliness of Corporate Financing filings.These report cards display statistics about late filings submitted to Corporate Financing.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 21, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws. In pertinent part, the proposed rule amendments would:
(1) prohibit a firm that withdraws, on an unexcused
I would like to choose the investment myself and should not have to have to test.
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
I should not have to take a test to be able to make investments of ANY kind!
FINRA would like to remind member firms of their obligation to file their 3070/Customer Complaints by their required due dates.
