Recent Announcements for Industry Professionals

January 2009

Regulatory Notice

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements

 

Regulatory Notice

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements

 

Podcast

December 2008 Monthly Recap

 

Regulatory Notice

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009

 

Election Notice

Upcoming District Committee and District Nominating Committee Elections

 

News Release

E*Trade Units Fined $1 Million for Inadequate Anti-Money Laundering Program

 

December 2008

Regulatory Notice

FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions

 

Information Notice

2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

 

Podcast

FINRA Coordinator

 

Speech

Read Mary Schapiro's Acceptance of Nomination as SEC Chairman

 

Regulatory Notice

FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives

 

Regulatory Notice

FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment

 

Regulatory Notice

SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests

 

Regulatory Notice

SEC Approves New Consolidated FINRA Rules

 

Podcast

Annual Audit

 

Regulatory Notice

FINRA Provides Guidance on Estimated Annual Income and Estimated Yield

 

Regulatory Notice

Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security

 

Information Notice

Continuing Application of NASD Rules and Incorporated NYSE Rules

 

Election Notice

FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats

 

Webcast

FINRA’s Dispute Resolution Process

 

Regulatory Notice

FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M

 

Regulatory Notice

SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications

 

Regulatory Notice

FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee

 

Podcast

November 2008 Monthly Recap

 

November 2008

Regulatory Notice

FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation

 

Regulatory Notice

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements

 

Regulatory Notice

Fair and Accurate Credit Transactions Act of 2003

 

Podcast

AML Law Enforcement Requests

 

News Release

Small Firms Elect Coordinated Capital Securities CEO Mari Buechner to Fill Vacant FINRA Board of Governors Seat

 

Election Notice

Notice of SFAB Election and Ballots

 

Online Workshop

Customer Data Protection Issues for Small Firms, December 2, 2008; Registration closes soon.

 

Regulatory Notice

FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors; Comment Period Expires: December 18, 2008

 

Online Learning

An e-learning course and a webcast about the equity trading process

 

News Release

Citigroup Global Markets Fined $300,000 for Failing to Supervise Commissions Charged to Customers on Stock and Option Trades

 

Information Notice

September 2008 Supplement to the Options Disclosure Document

 

Podcast

Managing Risk in Today’s Market

 

Regulatory Notice

FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests

 

Regulatory Notice

FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities

 

Regulatory Notice

FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities

 

Podcast

October 2008 Monthly Recap

 

Information Notice

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act