United States: FINRA Amends Continuing Education And Registration Requirements - Cadwalader, Wickersham & Taft LLP

Mondaq

24 Nov 2021 0 shares 1 views

United States: FINRA Amends Continuing Education And Registration Requirements - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 24 Nov 2021

FINRA adopted amendments to rules on continuing education and registration requirements to provide accommodations for individuals with terminated registrations to maintain their qualification.

Full Article

United States: Comment Deadline Set For SEC Proposed Changes To EDGAR Filing Requirements - Cadwalader, Wickersham & Taft LLP

An SEC proposal to expand the electronic filing requirements under the EDGAR system was published in the Federal Register.

Mondaq 26 Nov 2021

United States: FINRA Proposes TRACE Reporting And Portfolio Trade Rule Amendments - Cadwalader, Wickersham & Taft LLP

If the SEC approves the proposal, FINRA will notify market participants in the Federal Register within 90 days.

Mondaq 26 Nov 2021

United States: FINRA Amends Continuing Education And Registration Requirements - Cadwalader, Wickersham & Taft LLP

United States: FINRA Amends Continuing Education And Registration Requirements - Cadwalader, Wickersham & Taft LLP

You might like

Related news coverage

United States: Comment Deadline Set For SEC Proposed Changes To EDGAR Filing Requirements - Cadwalader, Wickersham & Taft LLP

United States: FINRA Proposes TRACE Reporting And Portfolio Trade Rule Amendments - Cadwalader, Wickersham & Taft LLP

Advertisement