SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
SEC Approves Amendments to Rules Governing Communications With the Public
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On December 14, 1992, the Securities and Exchange Commission (SEC) approved a series of changes to the NASD® rules governing transaction reporting in Nasdaq National Market,® Nasdaq Small-Cap,SM and exchange-listed securities. These changes eliminate certain inconsistencies among parallel rules covering
New S901 Regulatory Element Continuing Education Program
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
On October 19, 2012, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
