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Rule 4530 Events
FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence.
Interpretive Letter to Jonathan K. Lagemann, Esq., Law Offices of Jonathan Kord Lagemann
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
Information Notice 2/9/12
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Regulatory Notice 08-22
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
Monthly Disciplinary Actions November 2012
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).
Continuing Education Rules of Conduct
These Rules of Conduct set forth the terms and conditions of your participation in a Regulatory Element Continuing Education (CE) session. You must read and agree to the following statements before starting your Regulatory Element CE session. I understand that if I violate any of the following rules of conduct, my CE session results will be forfeited and I may be subject to disciplinary action
Notice to Members 01-62
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal &amp; Compliance Municipal/Government Securities Operations Trading &amp; Market Making Holiday Trade Date — Settlement Date Schedule Columbus Day: Trade Date—Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the
Notice to Members 02-22
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal &amp; Compliance Registration Senior Management Continuing Education Firm Element Regulatory Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development
Notice to Members 05-81
INFORMATIONAL SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date—Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date—Settlement Date Schedule The NASDAQ Stock Market® and the securities exchanges will be closed on
Election Notice - 3/27/09
Nominees for Vacant FINRA Board of Governors Large Firm Seats