Regulatory Notice 08-33
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures; Effective Date: June 6, 2008
Effective June 6, 2008, FINRA's MRVP was expanded to include violations of options position and exercise limits and contrary exercise advice procedures. The amended text of IM-9216, which describes FINRA's MRVP, is set forth in Attachment A of this Notice.
Questions concerning this Notice should be directed to Stan Macel, Assistant General Counsel, Office of General Counsel, at (202) 728-8056.
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