Notices Subject Index – P

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P1/S1 Indicators

TRN 12/21/11

PAIB Reserve Formula Computation (see Proprietary Account of Introducing Broker-Dealers (PAIB))

Panel Composition

(see Arbitration)

Papilsky Rules

(see Fixed Price Offerings)

Partial Redemptions

08-21

Passive Market Making

Rule Amendments; 97-10

Pay-to-Play

IN 6/6/11

Payments

CRD Accounts; FYI, September 2001
Financial; FYI, July 2001

Penalty Bids

02-55

Personal Electronic Devices

11-39

Personal Securities Transactions of Associated Persons

09-22

Personnel Assessment

02-41

"Piggybacking" Arrangements 05-72

PIPEs

08-74

Political Contributions

IN 6/6/11

PORTAL Securities

10-26; 09-08; 01-41; 01-19

Portfolio Margin

12-44; 11-1608-41; 08-09; 07-14; 07-11

Accounts; 11-30

Risk Disclosure Statement; 08-09; 07-14

Position Limits

08-10; 08-04; 07-37; 07-0807-0306-4606-0905-5605-0603-19

Possession or Control

08-38

Pre-Time Stamping

Books and Records; 11-19

Predispute Arbitration Agreements

11-1905-32; 05-09

Prices

08-36

Price Validation and Price-Override Protocol; TRN 9/17/10

Primex Auction System

Introduction; 00-65

Principal

12-07

Principal Approval Requirements

08-12

Principal-Protected Notes

09-73

Principal Registration

08-28; 08-02

Principal Review

Deferred Variable Annuities; 10-05; 09-32; 07-53

Privacy

IN 7/1/09; 08-69; 05-49; 00-66

Private Placements

10-22; 07-27; 05-18

Memoranda; 13-26; 11-04

Memorandum; 12-40; 09-27; 07-27

Private Securities Transactions

08-24

Problem and Product Codes

Customer Complaints; 10-27

PROCTOR

Transition to Sylvan; 96-87

Projections

04-86

Promissory Notes

Arbitration; 11-2209-48

Private Securities Transactions; 01-79

Proprietary Account of Introducing Broker-Dealers (PAIB)

Allocation Chart; 99-44
Assets; 98-99
Computation Date; FYI, December 1999
PAIB Reserve Computation; 07-60; FYI, June 2002

Proprietary Trading

08-18

Protection of Customer Information 05-49
Proxy Reimbursement Rules

03-15

Proxy Statements

09-72; 04-83

Publication of Transactions and Quotations

09-72; 06-50

Public Access to Comments

03-73

Public Arbitrator

08-22

Definition; 13-21

Public Disclosure Program

(see BrokerCheck)

Communications; 97-78
Limiting Disclosure Period; 98-71
Public Information; 03-76
Rule Changes; 00-16
Taping Rule; 01-38

Public Information Review

02-74

Public Offerings

13-43; 07-05

Conflicts of Interest; 10-60; 09-49

Deferred Compensation Arrangements; 12-27

Filings; 12-22

Underwriting Activity Reports; 03-46
Underwriting Compensation; 98-88

Underwriting Terms; 12-22

Publicity Rule

13-27