Deadline for Broker-Dealers to Register Operations Professionals Is Fast Approaching
Bingham
December 12, 2011
FINRA & Registration of Operations Professionals
Preparing for FINRA Operations Professional Registration
Shearman & Sterling
October 11, 2011
International Implications of New FINRA Registration Rules for Securities Back Office Personnel
Arnold & Porter
August 2011
New Broker Back-Office Personnel Registration, Exam and Continuing Education Requirements
Pepper Hamilton
August 26, 2011
FINRA Adopts New Registration Requirement for Operations Professionals
Dechert
August 17, 2011
FINRA Sets Effective Date for Broker Dealer Operations Professional Rule
Bingham
July 29, 2011
New FINRA Rule 1230(b)(6): Operations Professionals Must Register and Pass an Examination
Lowenstein Sandler
July 26, 2011
FINRA Files Operations Professional Registration Rule Proposal With the SEC
Bingham
March 21, 2011
Please see our Hot Topics for more on this subject.
FINRA Proposes New Registration and Qualification Requirements for Certain Operations Personnel
Sidley Austin
June 10, 2010
Please see our Hot Topics for more on this subject.
