SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the
<p>FINRA Rule 2210 - Communications with the Public</p>
Notice of Special Meeting of Large Firms and Proxy
FINRA Revises Sanction Guidelines
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
April 19, 2001
On May 7, 2001, the Order Audit Trail System (OATS) will be instituting functionality that provides member firms with control of who submits OATS data on firms’ behalf. This document includes instructions on to how to build a header record, as well as how to create/maintain the relationships between the firm and its Order Sending Organizations (OSOs).
With the new functionality,
