FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
There are a lot of ways to gain exposure to precious metals such as silver, gold, palladium and platinum. But investing in the physical metal can carry a lot of allure for some investors. It can also come with a lot of risks.
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
The Series 86 and 87 exams — the Research Analyst Exams — assess the competency of an entry-level registered representative to perform their job as a research analyst.
SEC Approves Supplemental Inventory Schedule
