10:00 a.m.       Investor Advisory Committee Quarterly Meeting See IAC Agenda Location: SEC Headquarters, Multipurpose Room, 100 F Street, N.E., Washington, D.C. Contact: Frankie White, 202-551-4310

FINRA's Annual User Accounts Certification Process is underway and will conclude February 12, 2015. During this certification period, Super Account Administrators (SAAs) for firms with more than one user must … Continue reading Annual Entitlement User Accounts Certification Process →

SIFMA’s FINRA Disciplinary Hearings Forum is a half-day interactive program that will provide valuable insights and practice tips both for lawyers experienced in FINRA proceedings and those new to the … Continue reading FINRA Disciplinary Hearings Forum →