Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
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).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to correct a typographical error in NASD Rule 2520 (Margin Requirements). In particular, the proposed rule change would amend NASD Rule 2520 to re-label a subparagraph that was incorrectly identified as part of a recent rule filing.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2241 (Research Analysts and Research Reports) required by the Fair Access to Investment Research Act of 2017 (“FAIR Act”). The proposed rule change would eliminate the “quiet
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA Rules.
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).
Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
