Recent Announcements for Industry Professionals
February 2012
Regulatory Notice
Information Notice
January 2012 Supplement to the Options Disclosure Document
FINRA Board of Governors
Rulemaking Items for Discussion at the February Meeting
Regulatory Notice
Information Notice
New Rate for Fees Paid Under Section 31 of the Exchange Act
Podcast
Speech
Remarks by Richard Ketchum From the Global Diversity Leadership Exchange
News Release
January 2012
Communication to Firms
Annual Regulatory and Examination Priorities Letter
Regulatory Notice
Regulatory Notice
News Release
FINRA Fines Merrill Lynch $1 Million for Failure to Arbitrate Disputes With Employees
Regulatory Notice
E-Learning Course
Privacy Considerations: Conducting Business With Institutional Clients
News Release
Regulatory Notice
Regulatory Notice
News Release
Large Firms Elect Gregory Fleming to FINRA Board of Governors
Webinar
Branch Office Supervision – February 8, 2012
TRACE Phone-In Workshop
Multi Product Platform – January 17, 2011
Podcast
Regulatory Notice
December 2011
News Release
News Release
FINRA Fines Barclays Capital $3 Million for Misrepresentations Related to Subprime Securitizations
Trade Reporting Notice
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
E-Learning Course
Communications With the Public: An Introduction to Compliance Issues for Wholesalers
News Release
FINRA's 2011 Activities Highlight Commitment to Investor Protection
Information Notice
2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
News Release
FINRA Fines Wells Fargo $2 Million for Unsuitable Sales of Reverse Convertibles to Elderly Customers
Testimony
Chairman and CEO Richard Ketchum Before the Subcommittee on Oversight and Investigations
Election Notice
Notice of Special Meeting of FINRA Large Firms to Elect Large Firm Governor and Proxy
Testimony
Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
Regulatory Notice
Electronic Blue Sheet (EBS) Submissions
Podcast
Email to Firms
Update: FINRA Board of Governors Meeting
Regulatory Notice
Short Interest Reporting Requirements
Testimony
Vice Chairman Stephen Luparello Before the Committee on Agriculture
Podcast
TRACE Phone-In Workshop
Multi Product Platform – December 15, 2011
News Release
FINRA Foundation and USA Track & Field Foundation Team Up to Help Athletes Sidestep Investment Fraud
Information Notice
2012 Annual Audit and FOCUS Report Filing Deadlines
November 2011
News Release
SEC Staff and FINRA Issue Risk Alert on Broker- Dealer Branch Office Inspections
Regulatory Notice
FINRA Board of Governors
Rulemaking Items for Discussion at the December Meeting
Targeted Examination Letter
Spread-Based Structured Products
Election Notice
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
News Release
FINRA Sanctions Eight Firms and 10 Individuals for Selling Interests in Troubled Private Placements
Podcast
Information Notice
News Release
Regulatory Notice
Trade Reporting and Compliance Engine (TRACE)
News Release
FINRA and Ontario Securities Commission Sign Regulatory Cooperation Arrangement
E-Learning Course
Podcast
Advertising Regulation Guidance
News Release
Regulatory Notice
News Release
Trade Reporting Notice
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
Podcast
Operations Professional Registration Category – Part 3
Speech
Remarks by Richard Ketchum at the Research Center on the Prevention of Financial Fraud