Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product
Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065
Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
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Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
The Variable Annuities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
Mary Schapiro Remarks From SEC's Third Annual Senior Summit
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
