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MSRB looking to change continuing education rule

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

United States , Michael Decker , Firm Element , Financial Industry Regulatory Authority , Municipal Securities Rulemaking Board , Regulatory Element , Bond Dealers , Annual Compliance Meetings , Washington Dc , Msrb Rules , Broker Dealers , Continuing Education ,

FINRA Extends the Registration Qualification Window from Two to Five Years After Termination | Goodwin

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). ....

Financial Services Affiliate Waiver Program , Firm Element , Qualifications Program , Maintaining Qualifications Program , Financial Professional Gateway , Regulatory Element ,

Observations from a Review of FINRA's 2021 Sanction Guidelines | Bryan Cave Leighton Paisner

Key Takeaways: ..FINRA released its most recent Sanctions Guideline, effective immediately, on October 20, 2021. A link to that document can be found here. . ....

Puerto Rico , United States , Puerto Rican , Discretion Without Customer Written Authority , Restrictions On Personal Trading Of Research Analysts , Public Appearances Of Research Analysts , Restrictions On Publishing Research , Investment Banking Department , Exchange Act Rule , Research Analysts , Compensation For Research Analysts , Misleading Communications , Relationships Between Research Analysts , Securities Exchange , Relationships Between Department , Disclosure Requirements For Research , Key Takeaways , Sanctions Guideline , Consolidated Audit Trail System , Audit Trail System , Late Reporting , Misleading Reporting , Clock Synchronization , Determining Sanctions , Sanctions Guidelines , Best Execution ,

FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications

FINRA announced a number of changes to its continuing education requirements, including that registrants must take CE requirements annually. ....

Sander Ressler , Exchange Commission , Edge Compliance Outsourcing Services , Qualifications Program , Financial Industry Regulatory Authority , Maintaining Qualifications Program , Regulatory Element , Essential Edge Compliance Outsourcing Services ,

FINRA Adopts New Rules to Address Firm Misconduct | Goodwin

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 , Regulatory Element , Registration Requirements , Regulatory Notice ,