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FINRA Regulatory Notice 11-49
FINRA Provides Guidance on Advertising Regulation Issues
12/7/2011
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FINRA Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
12/7/2011
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FINRA Regulatory Notice 11-47
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10/14/2011
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MSRB NOTICE 2011-60 (October 13, 2011)
MSRB FILES WITH THE SEC AMENDMENTS TO RULE G-16 TO FACILITATE RISK-BASED COMPLIANCE EXAMINATIONS AND AMENDMENTS TO RULE G-9, ON PRESERVATION OF RECORDS. Today, the MSRB filed with the Securities and Exchange Commission (“SEC”) a proposed rule change consisting of amendments to Rule G-16, on periodic compliance examination, and Rule G-9, on preservation of records, in order to facilitate the establishment of a risk-based compliance examination program for brokers, dealers, and municipal securities dealers (“dealers”) that are members of the Financial Industry Regulatory Authority (“FINRA”).[1]
10/14/2011
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MSRB Notice 2011-59 (October 5, 2011)
MSRB TO HOST EDUCATION AND OUTREACH SEMINAR IN NEW YORK
10/11/2011
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FINRA Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
10/7/2011
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Finra Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
10/3/2011
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FINRA Regulatory Notice 11-45 - Qualification Examinations
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
9/30/2011
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FINRA Trade Reporting Notice - Trade Reporting Obligations
FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
9/26/2011
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Trade Reporting Notice - 9/23/2011
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
9/26/2011
Industry News
