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FINRA established Rule 3241 in order to enhance investor protection, including addressing misconduct that may stem from the conflicts of interest presented by these arrangements.

​​​​​​​FINRA recently highlighted Rule 3241 in the 2023 Regulatory Element Learning Plan. Rule 3241 became effective in early February 2021 and prohibits a registered person from being...

On Tuesday, the Municipal Securities Rulemaking Board filed a proposal with the SEC to changing Rule G-3, which governs continuing education requirements.

What advisors need to know about FINRA's Maintaining Qualifications Program.

Persons registered with a broker-dealer historically have had two years from their Form U5 filing date to re-register with another firm before their prior qualifications (examinations)...