As of December 12, 2015, FINRA will release Form U-5s within three business days of a member firm’s submission, instead of the fifteen days currently provided for under Rule 8312.
Continue Reading So what does the expedited release of a Form U-5 mean for you

In a recent Acceptance, Waiver and Consent (“AWC”) a broker dealer was censured and fined for, among other things, the failure to conduct an adequate pre-hire investigation of a registered
Continue Reading Is This A Preview of FINRA’s Approach to Rule 3110(e)