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Monthly Archives: May 2015

SEC Approves FINRA Rule 3110(e) Regarding Background Checks

FINRA Rule 3110(e)

This entry was posted in News, Uncategorized on May 4, 2015 by Steven Thornton.

SEC Approves Supplemental Inventory Schedule

Supplemental Inventory Schedule

This entry was posted in News, Uncategorized on May 4, 2015 by Steven Thornton.

FINRA Announces its 2015 Exam Priorities

2015 Exam Priorities

 

This entry was posted in News and tagged FINRA on May 4, 2015 by Admin Executionists.

SEC – Office of Compliance Inspections and Examinations – Examinations Priorities for 2015

This document identified selected 2015 examination priorities of the Office of Compliance Inspections and Examinations (“OCIE,” “we” or “our”) of the Securities and Exchange Commission (“SEC” or “Commission”).

This entry was posted in News, Uncategorized and tagged FINRA, News on May 3, 2015 by Steven Thornton.

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