Continuing Education Planning
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
September 2008 Supplement to the Options Disclosure Document
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
Continuing Education Planning
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
