FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination Operations Rule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an
New Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approval and Effective Date for New Consolidated FINRA Rules
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Background information about FINRA Contact System (FCS) and related Notices.
The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.
On this page you will find information on eligibility, the BrokerCheck Dispute Form and instructions on how to submit a dispute.
Who Can Submit a Dispute?
Any current or former FINRA
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
