Sunday 05 September

08:45:56

US News

The Latest Regulatory News

  • FINRA Regulatory Notice 10-25
    FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals; Comment Period Expires: July 12, 2010
  • FINRA Regulatory Notice 10-22
    Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
  • Regulatory Notice 10-20
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
  • Regulatory Notice 10-21
    SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
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