Regulatory Notices Related to Financial and Operational Rules
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08-66 FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities Posted on: 11/4/08 |
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08-65 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 Effective Date: November 4, 2008 |
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08-60 FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds Effective Date: October 21, 2008 |
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08-56 FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records Posted on: 10/15/08 |
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08-46 Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers’ Clearing Deposits Posted on: 9/5/08 |
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08-38 FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling Posted on: 7/23/08 |
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08-23 Proposed Consolidated FINRA Rules Governing Financial Responsibility Comment Period Expired: June 13, 2008 |
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08-08 FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products Effective Date: March 6, 2008 Posted on: 3/5/08 |
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07-60 FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays Posted on: 12/11/07 |
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07-58 FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices Comment Period Expired: January 10, 2008 Posted on: 11/26/07 |
