Notices Subject Index – B

A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S  T  U  V  W  Y 
Baby Boomers 07-43
Background Investigations 07-55

Bankruptcy

09-37

Bank Secrecy Act

08-66

Recordkeeping Requirements; 97-13

Banks

Broker/Dealer Rule (NASD Rule 2350); 97-89; 97-26

Best Execution Obligations

08-80; 06-58

Best Execution Rule; 02-40
Interpretive Guidance; 01-22; 97-57
Life Settlements; 06-38

Rule Compliance; 00-42
Three Quote Rule; 00-78; 97-88

Best Practices

Fingerprinting Procedures; 05-39

Reviewing New Products; 05-26

Binary Options

IN 8/26/08; IN 5/15/08

Blank Check Company Securities

Distribution; 00-49

Blocked Accounts

Treasury List of Specially Designated Nationals and Blocked Persons; 98-50; 98-20; 98-08; 97-87; 97-35; 97-04

Blogs

10-06

Blue Sheets

13-38; 13-16; 12-47; 12-3611-5609-18; 06-33; 06-1305-5801-60;

Board of Governors, FINRA

Board Elections; EN 7/9/14; EN 5/6/14; EN 7/5/13EN 5/10/13EN 5/11/12EN 12/14/11EN 10/25/11EN 6/29/11EN 5/3/11EN 7/12/10; EN 5/4/10; EN 5/15/09; EN 3/27/09; EN 10/24/08; EN 8/26/08; EN 9/26/07; EN 8/3/07

Bona Fide Errors

09-15

Bonds

08-81

Bond Funds; 08-81

Books and Records

14-25; 14-12; 14-0613-44; 11-4811-1910-10; 10-03; 08-25; 08-18; 07-40; 05-32; 05-09

Disaster Recovery; 07-49

Inspection and Copying of; 13-06

Interpretations of SEC Rules; 08-56

Rule Amendments; 07-40; 01-80; 98-47; 96-82

Foreign Corrupt Practices Act Obligations; 11-12

Branch Office

BrokerCheck; 07-10

Definition of; 07-64; 05-67; 02-52; 06-12, 06-25

Inspections; 11-54

NYSE Branch Office; 14-11

Proposed Uniform Branch Office Registration Form (Form BR); 04-55

Registration; 14-11; 08-24; 08-03; 05-67; 05-66; 06-12, 06-25

 

Breakpoints

04-26; 03-47; 02-85

Bridge Loans 04-13
Broker-Dealer Registration; 05-18
Broker-Dealer of Record 04-72

Brokerage Account Applications

IN 10/21/08

BrokerCheck

14-19; 14-08; 12-1009-23; 08-26; 08-20

Disciplinary Complaints; 13-27 

Dispute Process; 10-34; IN 8/3/10

Historic Complaints; 10-34; IN 8/3/10

Public Information; 07-10; 03-76

Bulk Exchanges

08-48

Business Abroad

01-81

Business Continuity

Business Continuity Plans; 13-25; 10-57; 06-31; 05-57; 04-37; 02-23;

Disaster Recovery; 12-45; 07-49

Business Development Company 05-65

Business Entertainment

14-15; 06-06

Business Expansions 06-56
Business Operations Material Change; 06-56

Buy-Ins

08-64; 08-06

By-Laws

Article III, Sections 3 and 4; 07-55

Dispute Resolution; 10-32

FINRA Regulation; 09-39

IM-Section 3; 07-44

IM-Section 4(b)(1) and (e); 07-52

Schedule A; 08-72; IN 11/3/08; 08-61; 08-51; 08-37; 08-23; 08-19; IN 3/10/08; 08/07; IN 1/8/08; 07-63; IN 10/5/07; IN 9/20/07; 07-44; 07-0506-39; 06-30; 06-25; 05-79; 05-23; 05-11,

Trading Activity Fee; 05-61

By-Laws Amendments

Associated Person Definition; 99-95; 99-52
Electronic Update of Member Information; 97-97
Fees; 04-63; 04-09; 04-04; 03-43; 03-41; 99-50; 98-97
Minor Rule Violation Plan (MRVP); 04-23

NASD Board; 04-27; 98-64; 97-75
Non-Payment of Arbitration Awards; 04-57

Proposed Changes; 04-2703-51; 03-04; 02-41; 02-09
Schedule A; 02-75; 02-63; 02-48; 01-54
Trading Activity Fee; 04-84; 03-30