On August 30, 2017, the SEC issued an order instituting proceedings to determine whether to approve or disapprove rule proposals filed by FINRA and the national securities exchanges to eliminate … Continue reading SEC Request for Comment: Consolidated Audit Trail
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District Compliance Meeting – District 7 Boca Raton, Florida
FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help … Continue reading Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members