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FINRA Amends Continuing Education And Registration Requirements - Finance and Banking

November 24, 2021

FINRA adopted amendments to rules on continuing education and registration requirements to provide accommodations for individuals with terminated registrations to maintain their qualification.

Firm Element Ce Firm Element Qualifications Program Financial Services Affiliate Waiver Program Finra Amends Continuing Education And Registration Requirements

Source: mondaq.com

FINRA Adopts New Rules to Address Firm Misconduct | Goodwin

October 1, 2021

In This Issue. The Financial Industry Regulatory Authority (FINRA) adopted new rules to address firms with a significant history of misconduct; the Securities and Exchange Commission...

Firm Element Restricted Firm Obligations Regulating Activities Under Rule Hearing Procedures Expedited Proceedings Under Continuing Education Requirements

Source: jdsupra.com

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Page 2 - Firm Element News Today

FINRA Amends Continuing Education And Registration Requirements - Finance and Banking

FINRA Adopts New Rules to Address Firm Misconduct | Goodwin

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