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SEC Approves FINRA Registration, Qualification and Continuing Education Rules

USA - October 13 2017 The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority rules that (1) consolidate the National Association…

Michael T. Foley

FINRA Publishes Guidance With Respect to Reporting Large Options Positions

USA - May 13 2016 On May 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-17 (Notice), which pertains to large options positions reporting…

Michael J. Lohnes

FINRA Releases Guidance In Light of FinCEN Customer Due Diligence Requirements

USA - December 1 2017 On November 21, the Financial Industry Regulatory Authority issued Regulatory Notice 17-40, which provides member firms guidance as it relates to…

Michael T. Foley

FINRA Releases Additional Guidance Related to Social Media

USA - April 28 2017 The Financial Industry Regulatory Authority recently released Regulatory Notice 17-18, which contains guidance pertaining to social networking…

Michael T. Foley

FINRA Files Proposed Amendment to FINRA Rule 2232

USA - August 19 2016 On August 15, the Securities and Exchange Commission published the Financial Industry Regulatory Authority's proposed amendment to FINRA Rule 2232…

James D. Van De Graaff