Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Continuing Education Planning
FINRA Survey to Create the Securities Trader Qualification Examination
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules ...
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Changes to Qualification Examination Fees Effective Date: April 1, 2015 ...
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA ...
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies ...
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants Effective ...