Continuing Education Planning
INFORMATIONAL
Margin Disclosure
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
Executive Summary
On April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association of Securities Dealers, Inc. (NASD®)
Technology Changes for Reporting Clearing Methods and Arrangements
Continuing Education Planning
FINRA Revises the Sanction Guidelines
New S901 Regulatory Element Continuing Education Program
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
