Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official 9as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect
Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
