Deadline for Broker-Dealers to Register Operations Professionals Is Fast Approaching
Bingham
December 12, 2011
Tuesday, Jun 18th
Last update09:33:34 PM
FINRA & the Exchanges
FINRA & Registration of Operations Professionals
Trending ..... SEC Proposes Money Market Reforms ..... SIGA Technologies & Enforceability of Term-Sheets ..... In re MFW Shareholders Litigation: Going-Private Merger gets BJR Treatment ..... Broker-Dealer Faces FCPA, Travel Act and Securities Fraud Charges for Venezuelan Payments ..... SEC Charges City of Harrisburg with Securities Fraud for Fraudulent Public Statements ..... SEC Proposes Rules for Cross-Border Security-Based Swap Activities ..... Ralph Lauren Settles FCPA Charges ..... SEC/CFTC Issue Identity Theft Rules ..... Netflix Report: Regulation FD & Social Media ..... In re Puda Coal: Claims Against Chinese Directors Get Go Ahead ..... SEC Speaks ..... Say-on-Pay Litigation ..... SEC Eyes Up Private Equity ..... DOJ/SEC Issue FCPA Guidance ..... Iran Sanctions Include SEC Disclosure Mandate .....
Deadline for Broker-Dealers to Register Operations Professionals Is Fast Approaching
Bingham
December 12, 2011
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
Bingham
March 21, 2011
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Sidley Austin
June 10, 2010
Please see our Hot Topics for more on this subject.
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