SR-FINRA-2009-007 - Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282, and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make permanent the portfolio margin pilot program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g).
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
