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FINRA Regulatory Notice 09-73
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
12/17/2009
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FINRA Regulatory Notice 09-67
Regulatory Element Continuing Education Fees to Increase
11/27/2009
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SEC Release No. 34-61050
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
11/23/2009
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FINRA Regulatory Notice 09-64
Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
11/13/2009
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NASAA Headline - The Most Dangerous Piece of Mail You’ll Get All Year is For a Free Lunch
New AARP Survey Shows High Level of Concern About Impact of Financial Scams Among 55+ Population
11/12/2009
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FINRA Information Notice 11/9/09
Changes to the S101 and S106 Regulatory Element Continuing Education Programs
11/9/2009
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CBOE Regulatory Circular RG09-122
Supervision of Electronic Communications and Electronic Storage of Records
10/28/2009
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FINRA Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
10/23/2009
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FINRA Regulatory Notice 09-61
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10/23/2009
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NASAA Outlines Best Practices For Investment Advisers
Coordinated IA Examinations Spotlight Deficiencies in Key Areas
9/29/2009
Industry News
