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Notice to Members 03-81
INFORMATIONAL Continuing Education Effective Date: January 1, 2004 SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Regulatory Element Executive Summary Effective January 1, 2004, the fee for the Regulatory Element of Continuing Education will be reduced from $65
Regulatory Notice 17-09
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
How Parties Select Arbitrators
The number of arbitrators appointed to a case depends on the amount and type of relief requested in the Statement of Claim.
Notice to Members 02-24
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of February 21, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AELU.GB American Cellular Corp. 9.
Notice to Members 01-48
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of May 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GR Adelphia Communications Corp 10.250 06/15/11
FINRA Widget Terms of Use
Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
Regulatory Notice 08-01
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
What To Do If Your Investment Professional Has a Customer Complaint on BrokerCheck
BrokerCheck, a free online database provided by FINRA, provides a wealth of background information about brokers to help make that decision easier.
Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Interpretive Letter to James A. Ricketts, Ameritrade, Inc.
Permissibility of electronic signatures in place of manual signatures for principal approval of new customer accounts.