Regulatory Notice 16-39: Trade Reporting and Compliance Engine (TRACE)
In 2001, the Securities and Exchange Commission approved the Trade [...]
28
06, 2017
16
06, 2017
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]
2
06, 2017
SEC Approves Rules Relating to Financial Exploitation of Senior Investors (Rule 2165 and Rule 4512)
FINRA has recently announced the SEC approval of new Rule [...]
31
05, 2017
FINRA Provides Reminders Concerning the Use of Social Networking Websites and Business Communications
In today’s ever-changing technological environment, overseeing new forms of communication [...]
18
11, 2016
Quotation System for OTC Equity Securities
FINRA is soliciting comment on a proposal to provide for [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
28
10, 2016
Automatic Lock-In to ADF Disabled
Firms that use the Alternative Display Facility (ADF) to report [...]
27
10, 2016
Financial Exploitation of Specified Adults
FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]
25
10, 2016
FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]