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Rule Change Updates
Exam Content, FINRA News

FINRA Rule 6730 and MSRB Rule G-14 Updates: New Trade Reporting Requirements

July 18, 2016 by Marcia Larson No Comments

FINRA Rule 6730 and MSRB Rule G-14 will be updated with reporting changes that are effective on Monday, July 18. …

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Exam Content, Knopman News, Series 24, Series 7

Trade Reporting and Compliance Engine (TRACE) Rule Change: Report Bond Trades As Soon As Practicable

November 2, 2015 by Dave Meshkov No Comments

The SEC recently approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules. FINRA Rule 6730 will require member firms to report…

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Knopman News, Series 24, Series 63, Series 7, Series 79

2013 FINRA Changes and Those to Come

December 18, 2013 by Liza Streiff No Comments

Here at Knopman, we closely monitor FINRA changes to ensure that candidates preparing for FINRA examinations are fully equipped with up-to-date…

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