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Regulatory Notice 18-20
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
MSRB Qualification Examination Rules of Conduct
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
Regulatory Notice 11-36
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Regulatory Notice 21-11
Summary FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.  The proposed rule text marked to show changes from the current rule text is
Regulatory Notice 17-36
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Remarks From the Exchequer Club
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
Monthly Disciplinary Actions June 1996
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section. Firm Fined, Individual Sanctioned Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
Regulatory Notice 07-55
Personnel Background Investigations Regulatory Notice Notice Type Guidance Referenced Rules & Notices Article III, Sections 3 and 4 of the FINRA By-Laws NASD Rule 3010(e) NTM 97-19 NTM 05-39 NYSE Interpretation Handbook Rule 345.11/01 NYSE Rule 345.11 NYSE Rule 346b Suggested Routing Compliance Executive Representatives Human Resources Legal Operations Principals Registered
Monthly Disciplinary Actions July 2014
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).