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FINRA Regulatory Notice 13-43
The SEC approved amendments to Supplementary Material .02 (Written Representations) to FINRA Rule 5131 (New Issue Allocations and Distributions) to provide a limited exception to facilitate firm compliance when allocating shares of a new issue to the accounts of certain unaffiliated private funds. The text of the amendments can be found in the online FINRA Manual at www.finra.org/finramanual.
12/23/2013
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CBOE Regulatory Circular RG13-162
CBOE Rule 4.18 requires every Trading Permit Holder (“TPH”) or TPH organization to establish, maintain and enforce written policies and procedures reasonably designed to prevent the misuse, in violation of the Securities Exchange Act of 1934 (the “Act”) and CBOE Rules, of material nonpublic information by the TPH or persons associated with the TPH.
12/19/2013
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FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Effective December 16, 2013, FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
10/31/2013
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FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Effective December 16, 2013, FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
10/31/2013
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FINRA Regulatory Notice 13-33
Continuing Education: Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10/18/2013
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Information Notice Regarding New S901 Regulatory Element Continuing Education
FINRA will implement the new S901 Regulatory Element Program for Operations Professionals, the continuing education requirement for Series 99 registered persons who do not hold any other FINRA registration, on October 17, 2013.
9/20/2013
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FINRA Regulatory Notice 13-25 - Business Continuity Planning
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
8/30/2013
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FINRA Regulatory Notice 13-26 - Private Placements of Securities
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
8/30/2013
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FINRA Regulatory Notice 13-28 - Qualification Examinations
FINRA Revises the Series 16 Examination Program Implementation Date: October 28, 2013
8/30/2013
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MSRB NOTICE 2013-19 - REQUEST FOR COMMENT
The Municipal Securities Rulemaking Board ("MSRB" or “Board”) is seeking comment on proposed rule changes that would set forth in a single rule the requirements to and process by which brokers, dealers and municipal securities dealers ("dealers") and municipal advisors (collectively "regulated entities") register with the MSRB.
8/30/2013
Industry News
