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FINRA Amends Continuing Education And Registration Requirements - Finance and Banking - Vimarsana News

FINRA Amends Continuing Education And Registration Requirements - Finance and Banking

Published: 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.

Source: mondaq.com
Related Topics:
Firm ElementCe Firm ElementQualifications ProgramFinancial ServicesAffiliate Waiver ProgramFinra Amends Continuing Education And Registration RequirementsFinance And Banking
FINRA Adopts New Rules to Address Firm Misconduct | Goodwin - Vimarsana News

FINRA Adopts New Rules to Address Firm Misconduct | Goodwin

Published: 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...

Source: jdsupra.com
Related Topics:
Firm ElementRestricted Firm ObligationsRegulating Activities Under RuleHearing ProceduresExpedited Proceedings UnderContinuing Education RequirementsRegulatory ElementRegistration RequirementsRegulatory Notice