FINRA CRD Renewal Program Calendar
(As of 7/30/2018) 2019 Renewal Program Calendar October 2018 Mon., 10/01 FINRA suggests that firms review their registered persons to ensure that they have properly and
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www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
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www.finra.orgIf the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those
Regulatory Notice 17-30 - finra.org
www.finra.orgthat for which the person is registered, unless otherwise stated in the rules. In addition, FINRA Rule 1210 addresses the following: (1) requirement to have a minimum number
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