FINRA revises codes for reporting customer complaints. Beginning October 1, 2014, firms must select revised and new product and problem codes when reporting to the Financial Industry Regulatory Authority information regarding written customer complaints alleging theft or misappropriation of funds or securities, or forgery; in quarterly statistical and summary information regarding written customer complaints; and when completing the online form to file copies of required documents. (5/7/2014) FINRA Regulatory Notice 14-20.
Revised BrokerCheck hyperlink proposal. The Financial Industry Regulatory Authority is requesting comment on a revised proposal to require a hyperlink to BrokerCheck in firms’ online retail communications with the public. Comments should be submitted by June 16, 2014. (4/30/2014) FINRA Regulatory Notice 14-19.
FINRA Revises Series 26 Exam Program. The Financial Industry Regulatory Authority has revised the Investment Company and Variable Contracts Products Principal (Series 26) examination program. The changes will appear in Series 26 examinations administered on or after June 16, 2014. (4/30/2014) FINRA Regulatory Notice 14-18.