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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Tuesday,
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May 29
The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting: BrokerCheck disclosure; Discretionary accounts and transactions; Regulatory Element continuing education; Sales of securities on military installations; and TRACE transaction reporting and historic data sets.
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD® Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable
TRACE Reporting of OTC Transactions in Listed Bonds
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
Individuals with Limited English Proficienc)y (LEP) can request additional time to complete a qualification examination or Regulatory Element Continuing Education (CE) session.
