FINRA

SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) ...

SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants ...

Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251 ...

FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market ...

You'll find new focus areas - e.g., general solicitation, IPOs and crowdfunding - sprinkled among perennial items in the latest version of FINRA's annual Regulatory ...

2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates

Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches ...

Total revenues at FINRA jumped 2% and salaries enjoyed a nearly 5% bump last year. While CEO Rick Ketchum continues to be the top wage ...

As debate over a uniform fiduciary standard continues, FINRA has released a 44-page Report on Conflicts of Interest that urges firms to identify, manage and ...