Latest Breaking News On - Member firm pending event - Page 1 : comparemela.com

Well, Memorial Day is just past us, so we all know what that means: it’s time for FINRA to conduct its first annual assessment of its member firms to determine whether they should be.

Department of advertising regulationFirm associationFirm association categoriesDepartment evaluationOffice of hearing officersCommodity futures trading commissionDepartment evaluation in stepMember firm adjudicated eventRestricted firmMember firm pending eventAtlanta district officeMemorial dayStep oneRevaluation datePreliminary identification metricsPreliminary criteria