FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading Funding Portal Rules-Comments Requested
FINRA seeks comment on a revised proposal to transfer the NASD Rule 1010 Series (Membership Proceedings), with substantive changes, into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series … Continue reading FINRA Requests for Comments: Regulatory Notice 10-1
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Fall 2013 Firm Element Advisory (FEA). The Council … Continue reading Regulatory Notice 13-3 Securities Industry/Regulatory Council on Continuing Educaion Issues Firm Element Advisory Update