Following are FAQs about FINRA’s research conflicts of interest rules.
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
Summary
FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected
Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing
