FINRA issued Regulatory Notice 19-28 to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision)...
CN Editor
August 19, 2019
FINRA ANNOUNCES NEW "FINRA FORWARD" INITIATIVES TO SUPPORT MEMBERS, MARKETS AND INVESTORS
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES
GUIDANCE ON THE NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
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BCSC ALLEGES WASH TRADING BY TORONTO SECURITIES LAWYER
CIRO CYBERSECURITY SELF-ASSESSMENT TOOL FOR CIRO DEALER MEMBERS
CIRO RULE CONSOLIDATION PROJECT - PHASE 5
CHANGES TO COMPANION POLICY 81-101 MUTUAL FUND PROSPECTUS DISCLOSURE