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Effective Dates
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Consolidated Rules; 09-50; 09-40; 09-33; 09-20; 09-11; 08-57; IN 10/6/08
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Elections
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(see Board of Governors, District Offices; FINRA; National Adjudicatory Council; Small Firm Advisory Board (SFAB))
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Electronic Communication Networks
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TRN 2/19/08 Books and Records; 11-19 Rule Changes; 04-68; 03-69; 98-85
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Electronic Communications
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07-30
Email; 01-17; 00-14; 98-108; 98-77; 98-03; 97-97
Electronic Filing; 02-26; FYI, June 1997
Electronic Update of Member Information; 97-97
Instant Messaging; 03-33
NASDAQ Issuers; FYI, February 1998
Registered Representatives, Meetings with; 98-18
Supervision of; 07-59; 07-30
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Electronic Filing Requirements
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09-40; 08-76; 08-11; 06-61 Debt Research Reports; 11-10
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Electronic Municipal Market Access System (EMMA)
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10-41; 09-35
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Eligibility
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Of Arbitration Claims; 09-07; 05-10
Proceedings; 09-19
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Emergency Preparedness
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05-57; 02-23 Emergency Contact Information; 07-42; 04-37 Emergency Office Relocation; 12-45; 07-49
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Employment Disputes
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02-07; 01-36
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Enforcement Actions
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(see Disciplinary Actions)
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Encryption
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8210 Requests; 10-59
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Entitlement Program
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IN 10/28/11 Super Account Administrator; IN 3/24/10
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Equity
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Offerings; 06-52
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Equity-Indexed Annuities
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05-50
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Equity-Linked Notes
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TRN 7/28/08; TRN 7/1/08; TRN 2/22/08
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Estimated
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Annual Income; 08-77
Yield; 08-77
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ETFs
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(see Exchange-Traded Funds)
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Examinations
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Scheduling; FYI, December 2002
Qualification Examinations; 11-33; 10-25; 05-70; 03-37; FYI, March 2003; 02-27; FYI, November 2001; 01-32; FYI, March 2001
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Excess Spread Rule (NASD Rule 4613)
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Elimination, NASDAQ Securities; 97-76
Elimination, Third-Market Securities; 98-5
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Exchange Offers
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Member Obligations; 97-82
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Exchange-Traded Funds
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Exemption for Exchange-Traded Fund Offerings; 12-27;
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Exchange-Traded Funds
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11-49; 11-40; 09-34 Leveraged and Inverse; 09-31
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Ex-Dividend Dates
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00-54
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Executive Representative
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Contact Information; 07-42; 00-14; 99-36; 98-108; 98-53; 97-20
Requirements; 04-32
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Exempted Securities
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01-63
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Exercise-by-Exception
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06-51
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Exercise Limits
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08-10; 08-04; 07-37; 07-08; 07-03; 06-46; 06-09; 05-56; 05-31; 05-06; 03-19
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Exercise Procedures
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11-35; 06-51
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Expedited Proceedings
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10-31; 10-13; 04-36
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Expense-Sharing Agreements
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03-63
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Expiring Exercise Declaration
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10-36
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Explained Arbitration Decisions
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09-16
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Expungement
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04-43; 04-16; 01-65
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Extension Processing
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10-28; 08-53; 08-32
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Extension of Time Requests
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10-45; 06-62; 06-30
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Extensions or Credit and Securities Delivery
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06-31
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Extraordinary Market Volatility
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10-30
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