New Rate for Fees Paid Under Section 31 of the Exchange Act
Reporting Reversals of OTC Trades in Equity Securities
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceOperationsSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Part i of Schedule D to the NASD By-Laws that provide new and separate fee structures for Nasdaq issuers. The new fees went into effect January 2, 1991.
Frequently Asked Questions Regarding TRACE Reporting
Continuing Education Planning
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Upcoming Election to Fill FINRA District Committee Vacancies
LICENSED PRODUCT
Terms of Use
Last modified: June 15, 2022
The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
