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April 2012

Regulatory Notices

12-17 SEC Approves Consolidated Telemarketing Rule Posted on: 4/2/2012

March 2012

Regulatory Notices

12-14 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts Comment Period Expired: April 11, 2012 Posted on: 3/7/2012

February 2012

Regulatory Notices

12-09 FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports Comment Period Expired: April 2, 2012 Posted on: 2/17/2012

Information Notices

2/9/2012 January 2012 Supplement to the Options Disclosure Document Posted on: 2/9/2012

January 2012

Regulatory Notices

12-03 Heightened Supervision of Complex Products Posted on: 1/17/2012

12-02 FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor Posted on: 1/13/2012