Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
Continuing Education Planning
Continuing Education Planning
FINRA Entitlement User Account Certification
Regulatory Element Continuing Education Fees to Increase
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On August 11, 1994, the SEC approved a series of related changes to NASD rules governing transaction reporting in Nasdaq National Market® securities, The Nasdaq SmallCapSM Market securities, Nasdaq convertible debt securities ("Nasdaq convertibles"), over-the-counter equity securities (OTC
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs
