Upcoming Election to Fill FINRA District Committee Vacancies Nomination Deadline: October 3, ...
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions ...
FINRA Revises the Series 24 and 23 Examination Programs Implementation Date: October ...
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” Implementation ...
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council ...
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information ...
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution ...
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing ...
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session ...