Notices Subject Index – R

A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S  T  U  V  W  Y 

Ready Market

12-58

Real Estate Private Placements of Tenants-in-Common Interests; 05-18

Real Estate Investment Trusts (REITs)

13-18; 09-09; 08-35; 05-65

Proposed Amendment; 97-14

Reason Codes

Extension Requests; 00-45; 99-102

Reasonable Diligence

12-25

Recommendation

12-55

Record Ownership

10-61

Record Retention

IN 2/21/08

Recordkeeping

Social Networking; 11-39; 10-06

Recordkeeping Requirements

11-1908-12

Expenses and Liabilities; 03-63
Funds Transfers and Transmittals; 97-13
Instant Messaging; 03-33
Inter-Dealer Quotation Systems; 00-17

Unsolicited Customer Orders; 09-51

Red Flags

IN 7/1/09; 08-69

Redemptions

10-03

Registered Options and Security Futures Principal

08-28

Registered Representatives

07-36

Supervision; 07-36; 07-06

Registration

08-24; 07-41

Administrative Termination; 97-65
Approval; 08-64

Compliance Officers; 01-51; 99-51
Direct Registration Programs; FYI, February 1998

Fees; 08-61; 08-59; 08-19; 08-07; 04-73; 04-02; FYI, July 1999

Operations Professionals; 11-4211-3310-25

Procedures; FYI, March 2003
Renewal of Registrations; 13-3713-0112-46; 12-0111-5111-01; 10-02; 09-01; 08-59; 08-01; 07-48; 07-0106-02; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-03; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70; 10-58;
Requirements; 08-55; 08-01; 07-12; 05-01; 04-25; 03-44; 99-49
Rules; 09-33; 03-37; 03-20

Series 7 (General Securities Representative Exam); 99-75; 98-16
Series 23 (General Securities Principal Sales Supervisor Module); 03-37
Series 27 (Financial and Operations Principal); 01-52
Series 28 (Introducing Broker/Dealer Financial and Operations Principal); 01-52
Series 42 (Registered Options Representatives Exam); 98-16
Series 55 (Equity Traders Exam); 00-46; 00-27; FYI, February 2000; FYI, August 1998; 98-60; 98-17; FYI, May 1997
Series 63 (Uniform Securities Agent State Law Examination); FYI, August 2000
Series 65 (Uniform Investment Adviser Law Exam); FYI, August 2000; FYI, January 2000
Series 66 (Uniform Combined State Law Exam); FYI, August 2000; FYI, January 2000
Series 72 (Government Securities Representatives Exam); 98-16; FYI, May 1997
Series 79 (Limited Representative — Investment Banking); 09-41

Series 86/87 (Research Analyst Qualification Examination); 05-24; 05-14; 05-13; 04-81

Series 99 (see Operations Professionals)

Termination or Suspension of; 02-58

Waiver Requests; 08-67

Uniform Registration Forms; 08-20

Regulation NMS

TRN 2/24/09; 09-08; 08-31; 07-65; 07-63; 07-39; 07-23; 06-67

Regulation

D; (See Securities and Exchange Act (SEA) Rules)

M; (See Securities and Exchange Act (SEA) Rules)

T; (See Federal Reserve System)

SHO; (See Securities and Exchange Act (SEA) Rules)

S-P; (See Securities and Exchange Act (SEA) Rules)

Regulation T

11-3011-1610-45

Regulatory Disclosure Questions

09-40

Regulatory Element (see Continuing Education Program)
Regulatory Element Contact Person 07-42

Regulatory Filings & Inquiries

12-45

Regulatory Transaction Fees

IN 5/1/13; IN 11/26/1208-72; 08-37; 08-19; 07-63; 06-3905-11

REIT (see Real Estate Investment Trust)

Related Market Center

TRN 2/8/10

Related Performance Information

Mutual Fund; 97-47

Renewals

Final Renewal Statements; 13-0111-01; 10-02; 09-01; 08-59; 08-01; 07-48; 07-0105-01; 04-02; FYI, February 2002; FYI, February 2001
Payment Reminder; FYI, December 1999
Registration Renewal; 10-58; 08-59; 08-01; 07-48; 07-0106-59; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-48; 02-03; 01-75; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70

Reporting, Customer Complaints

10-27;

Reporting Requirements

13-4213-0811-3211-06; 09-02; 08-64; 06-3103-36; 03-23; 02-34; 01-84; FYI, December 2001

Asset- and Mortgage-Backed Securities; 10-23

Auction Rate Securities; 09-12

Debt Research Repots; 11-10

Research Analysts

11-4108-55; 08-16; 08-15; 07-0405-34; 05-13

NASD Sanction Guidelines; 05-17

Research Reports

12-49; 11-4108-55; 08-16; 08-15; 07-64; 07-0405-24; 05-14; 05-1304-81; 04-2504-18; 03-44; FYI, November 2002; 02-44; 02-39; 00-15; 98-54

Debt Research Repots; 12-0911-11; 11-10

NASD Sanction Guidelines; 05-17

Trading Ahead of; 09-11

Reserve Bank Accounts

07-60; FYI, May 2002

Deposits; 12-5407-60

Reserve Formula Requirements

08-65; 08-60

Restricted Equity Securities

12-07TRN 9/23/11TRN 6/3/1110-29; 10-26

Restitution

Expedited Proceedings; 10-13

Retail Market

08-66

Retention Requirements

Books and Records; 11-19

Retirement

11-5207-43

Retirement Plans

12-02

401(k) Plans; 13-45

Returned Shares

New Issues; 10-60

Revenue Sharing

09-34; 03-54

Reversals

TRN 3/25/1307-38

Reverse Exchangeable Securities (Reverse Convertibles)

10-09

Risk

Disclosure Proposal; 99-02; 97-29

Funding and Liquidity Risk Management Practices; 10-57
Ratings, Bond Mutual Fund; 96-84
Risk Management Practices; 99-92

Risk Monitoring Procedures and Guidelines; 09-30

Risk Management

11-5408-18

Riskless Principal

12-07TRN 2/8/10; 09-08; 07-46; 07-38

Rulebook Consolidation

12-0411-2410-6209-50; 09-40; 09-33; 09-11; 08-78; 08-57; IN 10/6/08; IN 3/12/08

Rule Harmonization 07-12

Rules, FINRA

(see the FINRA Manual for FINRA rules and related Notices)

Rumors

Circulation; 09-29; 08-68