FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA’s Quarterly Disciplinary Review.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from January 2012.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from December 2011.Read full story
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Part two of this two-part series presents guidance on supervising the use of senior designations to imply expertise with senior and retirement investing.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from November 2011.Read full story
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Part one of a two-part series on the use of senior designations to imply expertise with senior and retirement investing.Read full story
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This podcast focuses on guidance for applying FINRA’s Communications With the Public Rule and filing communications with FINRA for review.Read full story
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The final podcast in this series explains how the new FINRA continuing education requirements rule applies to operations professionals.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from October 2011.Read full story
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The second podcast in the operations professional registration category series focuses on the category’s examination requirement and the Series 99 exam.Read full story
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The first of three podcasts on the new operations professional registration category focuses on what it is and to whom it applies.Read full story
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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA’s Quarterly Disciplinary Review.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from September 2011.Read full story
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The last podcast in a three-part series on social media and electronic devices covers answers to some questions firms frequently ask about third-party posts, links and websites.Read full story
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The second podcast in a three-part series on social media and electronic devices covers questions firms frequently ask about supervision and recordkeeping.Read full story
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The first podcast in a three-part series on social media and electronic devices recaps requirements of FINRA’s rules related to social media.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from August 2011.Read full story
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The second of two podcasts on consolidated FINRA rules for books and records highlights four additional rules that go into effect in Dec. 2011.Read full story
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The first podcast in a two-part series on consolidated FINRA rules for books and records introduces four of eight new rules that go into effect in Dec. 2011.Read full story
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The second of two podcasts on consolidated FINRA rules for books and records highlights four additional rules that go into effect in Dec. 2011.Read full story
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This podcast focuses on a fee change related to qualification exams and Regulatory Element continuing education.Read full story
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The first podcast in a two-part series on consolidated FINRA rules for books and records introduces four of eight new rules that go into effect in Dec. 2011.Read full story
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FINRA staff discusses consolidated Rule 5320 (Prohibition Against Trading Ahead of Customer Orders), effective September 12, 2011.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from July 2011.Read full story
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This is the final podcast in a three-part series on additional guidance about FINRA’s new consolidated suitability and know your customer rules.Read full story
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This podcast is the second in a three-part series on additional guidance about FINRA’s new consolidated suitability and know your customer rules.Read full story
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This podcast is the first in a three-part series on additional guidance about FINRA’s new consolidated suitability and know your customer rules.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from June 2011.Read full story
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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the July issue of FINRA’s Quarterly Disciplinary Review.Read full story
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This podcast explains recent FINRA rule changes that allow customers with claims over $100,000 to choose an all-public arbitration panel.Read full story
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FINRA staff introduces the new Municipal Continuing Disclosure Report available through FINRA’s Report Center.Read full story
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This podcast, the second in a two-part series on the Foreign Corrupt Practices Act, focuses on the three types of firm categories and the Act’s accounting provisions.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from May 2011.Read full story
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FINRA Chairman and CEO Rick Ketchum’s keynote address from the 2011 FINRA Annual Conference.Read full story
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This podcast, the first in a two-part series on the Foreign Corrupt Practices Act, focuses on the anti-bribery provisions, which apply to every FINRA firm.Read full story
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This podcast, the first in a two-part series on the Foreign Corrupt Practices Act, focuses on the anti-bribery provisions, which apply to every FINRA firm.Read full story
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The last podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from April 2011.Read full story
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Part two in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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The first podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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The first podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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The first podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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An overview of FINRA Rule 4160 governing verification of assets custodied at a non-member financial institution.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from March 2011.Read full story
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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the April issue of FINRA\’s Quarterly Disciplinary Review.Read full story
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FINRA staff highlights FINRA Rules 2111 (Suitability) and 2090 (Know Your Customer).Read full story
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FINRA staff reviews a July 2011 Order Audit Trail System expansion requiring firms to report all national market system stocks, and explains technical enhancements to OATS.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the fixed income markets, including areas of regulatory concern and focus.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from February 2011.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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