Notices Subject Index – A

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

Access Fees

OTC Equity Securities; 10-42

Access to Quotations

Alternative Display Facility (ADF); 05-30

Accounting

Foreign Corrupt Practices Act Obligations; 11-12

Account Name Designation Changes

11-1905-0804-71

Accounts

Designated Accounts; 12-44

Exempt Accounts; 12-44

Managed; TRN 8/1/2013

Account Statements

Customer Accounts; 10-19; 06-6806-60;

Account Transfers

Employment Disputes; 02-07; 01-36

Accumulated Funds 07-44
ACATS (see Automated Account Transfer Service)
ACT (see Automated Confirmation Transaction Service)
ADRs (see American Depositary Receipts)

ADDS

(see Automated Data Delivery System)

ADF (see Alternative Display Facility)

Adjustment of Orders

10-10

Advertising and Sales Literature

08-73; 08-12

Bond Mutual Fund Volatility/Risk Rating; 00-23; 96-84
Filing Fees; 04-92; FYI, June 2001

Guidance; 13-0312-2911-49
Modernization; 03-38
Mutual Funds; 12-02; 03-77; 00-21
Non-Conventional Investments; 03-71
Options; 08-73

Ratings, Investment Companies; 97-28
Research Reports; 04-18; 03-44; 02-39; 00-15; 98-54
Rule Changes; 05-27; 99-79; 99-16

Soliciting Business Internationally; 11-34

Affidavits  04-44; 04-43

Affiliates

11-0410-01; 09-49; 09-27; 07-27; 06-52

Affirmations

13-40

Affirmative Determinations "Hard to Borrow" list; 00-28
Requirements; 04-52; 04-2104-08; 04-03
Rule; 99-98

Agency Pass-Through Mortgage-Backed Securities

13-24

Traded To Be Announced; 12-5612-48; 12-26

Agency Transactions

12-07TRN 2/8/10; 09-08; 07-46; 07-3805-45

Aggregation 08-04; 07-03

Allied Member

08-64

Allocations

New Issues; 13-43; TRN 8/1/201312-24; 11-2910-60

Alternative Display Facility (ADF)

14-21; 14-04; 13-19; TRN 3/25/13; 12-1912-07TRN 6/3/11TRN 8/19/10; 10-24; TRN 2/8/10; 09-21; TRN 2/24/09; 09-08; 08-74; TRN 8/14/08; 07-6307-46; 07-38; 07-2306-6706-4204-68; 02-45; 02-01

Access to Quotations; 05-30

Cancellations; 10-07

Distributions; 12-19; 11-40

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

Trading Centers; 07-2306-67

Alternative Trading Systems

14-07; 09-33

Alternative Display Facility; 02-01
Compliance Guidelines; 99-42; 99-34

Reporting Obligations; 09-46
Rules; 03-16

American Depositary Receipts (ADRs)

11-4007-25

AML

(see Anti-Money Laundering)

Annual Audit Filings

IN 1/8/2014; IN 12/3/12IN 12/1/1111-46IN 12/9/09; IN 1/8/09; IN 12/20/07; FYI, December 2004FYI, December 2003; FYI, December 2002; FYI, October 2002; FYI, August 2001
Requirements; 04-35;

Annual Compliance Meetings 05-44
Annual Compliance and Supervision Certification 06-11

Annuity

(see Variable Contracts)

Anti-Bribery

Foreign Corrupt Practices Act Obligations; 11-12

Anti-Intimidation/Coordination

09-20

Anti-Money Laundering (AML)

12-0807-17

AML Compliance Officer; 07-42

AML Compliance Programs; 06-41; 06-0703-34; FYI, December 2002; 02-80; 02-78; 02-50; 02-21
Foreign Currency Exchange; 08-66

Suspicious Activity Reporting Rule; 02-47

Arbitration

Arbitration Awards; 10-31; 04-10; 03-04; 00-63; 00-55; 98-74
Arbitrator Classification; 06-64; 04-49

Attendance at Hearings; 10-40

Auction Rate Securities; 09-12

Background Verification; 03-64
California Disclosure Standards; 03-25; 02-68

Chairperson Selection; 04-61

Closed Cases; 08-62

Code of Arbitration Procedure; 14-27; 13-4013-30; 13-2113-0412-30; 12-2812-2112-1811-23; 11-2211-1710-37; 09-07; 09-04; 08-79; 08-62; 08-44; 08-22; 07-57; 07-1307-07

Collective Action; 12-28
Default Procedures; 02-58

Deficient Claims; 10-11

Direct Communication between Parties and Arbitrators; 04-62

Disclosures; 09-40

Discovery; 13-04
Discovery Guide; 13-4011-1709-74; 03-70; 99-90

Discovery-Related Motions; 05-55

Dispute Resolution Regional Offices; 06-49
Dispute Resolution Subsidiary; 99-100

Electronic Discovery; 13-40
Employment Discrimination Claims; 99-96; 98-56; FYI, June 1998
Explained Decisions; 09-16

Expungements; 12-1804-43; 04-16; 99-54; 99-09

Fees; 09-74; 08-45; 05-82; 04-6003-64; 01-70; 00-64; 99-84; 99-23;

98-61; 98-01; 97-71
Filing Claims; 03-23

Foreign Hearing Locations; 05-35
Hearing Adjournments; 04-53

Hearing Locations; 10-17; 03-02; 02-16; 02-11

Hearing Session Fee; 10-16

Industry Code; 12-28

Injunctive Relief; 02-13; 97-59
List Selection Rules; 98-90

Mediators as Arbitrators; 05-36

Motions to Dismiss; 09-07
Neutral List Selection System; 10-37

Non-California Attorneys Guidelines; FYI, March 1999; 99-10
Non-Payment of Arbitration Awards; 04-57

Number of Arbitrators; 10-37; 09-13

Online Claim Filing System; 04-56

Orders to Appear or Produce Documents; 13-04

Panel Composition; 13-30; 11-0511-05; 09-43

Postponement Rule; 10-16

Pre-Dispute Arbitration Agreements; 12-2105-32; 05-09; 01-29

Procedures for Arbitrators; 08-79

Product Cases; 13-40

Promissory Note Proceedings; 09-48

Public Arbitrator; 13-2111-05; 08-22
Qualified Immunity; 97-77
Refund of Member Surcharge; 03-06
Removal of Arbitrators; 01-13; 01-04
Representation of Parties; 07-57

SEC Extends Rules; FYI, October 1997
Settlement Agreements; 04-44; 98-74
Simplified Arbitration; 12-3098-90
Single Arbitrator Pilot Program; 00-22
Specificity of Answers; 02-59

Time Limits; 09-36; 05-10

Uniform Submission Agreement (USA); 04-11

Whistleblower Dispute; 12-21;

Assets

Tranfers; 10-61

Verification; 10-61

Asset-Backed Securities

12-48; 12-26TRN 11/7/1111-20TRN 5/10/1110-23

Factor; 13-15

SBA Backed;13-24; 12-56

TBA; 13-15

Associated Persons

California Disclosure Standards; 03-25; 02-68
Compensation; 99-01
Definition; 09-74; 99-95; 99-52

Former Associated Persons; 11-32

Promissory Note Proceedings; 11-22; 09-48

Auction Rate Securities

09-12; 08-65; 08-21; 08-17; 08-08

Auditor Independence

02-19

Automated Confirmation Transaction Service (ACT)

Direct Participation Programs; 97-8
Order Audit Trail System, Integration; 98-82
PORTAL; 01-41
Rule Amendments; 98-82; 97-15
Short Sale Reporting; 04-54; 04-40 

Trade Acceptance and Reconciliation Service, Merger; 98-40

Automated Customer Account Transfer Service (ACATS)

Rules; 07-50; 04-58; 01-66

Automated Data Delivery System (ADDS)

13-09

Automated Systems

08-34

Automated Liability Notification System;  08-06

Automated Order Execution Systems; 99-12

 

Away from the Market Sales Automated Transaction Reporting; 06-39