Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending January 31, 2012) SIPC 7 →

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250 →