1. 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)


  2. CBOE Regulatory Circular RG09-100

    Prearranged Trades


  3. FINRA Regulatory Notice 09-53

    Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options


  4. FINRA Regulatory Notice 09-51

    SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11


  5. 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


  6. FINRA Regulatory Notice 09-42

    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities


  7. FINRA Regulatory Notice 09-41

    SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam


  8. 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


  9. 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


  10. FINRA Regulatory Notice 09-31

    FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds.


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