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MSRB Notice 2009-50
Notice Concerning Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
9/16/2009
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CBOE Regulatory Circular RG09-100
Prearranged Trades
9/10/2009
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FINRA Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
8/31/2009
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FINRA Regulatory Notice 09-51
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
8/21/2009
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FINRA Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
8/17/2009
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FINRA Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
7/31/2009
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FINRA Regulatory Notice 09-41
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
7/29/2009
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FINRA Regulatory Notice 09-40
SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
7/28/2009
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FINRA Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
7/16/2009
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FINRA Regulatory Notice 09-31
FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds.
7/16/2009
Industry News
