Financial Industry Regulatory Authority (FINRA) Regulatory Notice 17-30 noted that the Securities and Exchange Commission (SEC) had approved new registration and qualification rules for FINRA, including that members are required … Continue reading FINRA Requires Principal Financial Officer and Principal Operations Officer →
FINRA Member Firms may begin to submit post-dated Forms BDW & ADV-W on FINRA CRD
FINRA Member Firms may begin to submit post-dated Form U5s and Form BR closing/Withdrawal forms on FINRA CRD, which must be dated 12/31/2015.
The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
As a result of amendments to the Commodity Exchange Act (“CEA”), the Commodity Futures Trading Commission (“CFTC”) has issued final, foreign exchange (forex) rules which become effective on October 18, … Continue reading Retail Off-Exchange FOREX Registration Deadline Immanent →
6/23/2010 White Paper – RIA Registration and Regulatory Issues Companies and individuals who provide investment advice to others are generally subject to regulation by federal and or state securities regulators. Therefore, … Continue reading White Paper – RIA Registration and Regulatory Issues →