FINRA

FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules ...

Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4) Effective Date: ...

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR) Implementation ...

SEC Approves New Supervision Rules Effective Date: December 1, 2014 ...

New Rate for Fees Paid Under Section 31 of the Exchange Act ...

FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers ...

SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and ...

You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...