Notices Subject Index – C

A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S  T  U  V  W  Y 
CAES (see Computer Assisted Execution System)
California Disclosure Standards

03-25; 02-68

Callable Securities

10-03

Common Stock; 00-33

 

Capital Compliance

11-2610-15; 09-71; 09-03; 08-23

Capital Trust Security

14-23

Cash Alternatives

08-82

Cash Compensation

09-34

Cease-and-Desist Proceedings

Proposed Rules; 98-42

Central Registration Depository (CRD®)

14-19; 14-08; 12-3212-1809-33; 09-12; 08-79; 08-20; IN 2/21/08

Account Deduction; 00-85; 99-84; 98-61; 97-71
Background Investigations; 07-55

Branch Office Definition; 06-12; 05-67

Branch Office Registration; 14-11; 08-03; 06-12; 05-66

Broker Check; 12-1010-34; IN 8/3/10

Confidentiality Provisions; 04-44

Continuing Education Program, Termination; 97-65
Electronic Filing Requirements; 09-40

Exam Scheduling; FYI, December 2002
Expungements; 08-79; 04-4304-16; 01-65; 99-54; 99-09
Fees; 08-45; 02-83; FYI, July 2001; 99-84; 98-89

Firm Notifications; FYI, August 2002
Forms; 09-23; 04-55; 03-56; 03-42; 02-20
Payments; FYI, September 2001
Public Information; 12-1003-76
Renewals; 14-01; 13-3713-0112-4612-01; 11-5111-01; 10-58; 10-02; 09-01; 08-59; 08-01; 07-48; 06-59; 05-73; 05-01; 04-02; 03-61; 03-01; 02-67; 02-48; FYI, February 2002; 02-03; 01-75; FYI, February 2001;

Web CRD; 11-5107-0104-74; 04-23; 04-02; 00-72; FYI, January 2000; 99-85; 99-56
Web EFT; 03-14
Year 2000; FYI, September 1999

Certificates of Deposit

Long-Term or Brokered CDs; 02-69; 02-28

Certification

CEO Compliance Certification; 04-79; 04-71

Charitable Giving Guidance; 06-21
Chief Compliance Officer Designation Requirements; 04-79
Chief Executive Officer Compliance Certification; 04-79

Circuit Breakers

Market Wide; 13-12

Clearing Firms

Agreements; 08-76; 08-46

Clearing Agreements; 08-76; 05-72; FYI, July 2002; 99-57; 97-79

Customer Account Statements; 07-29

Reporting Inaccuracies and Discrepancies; 06-60

Deficits in Introduced Accounts; 05-38
Deposits; 08-46

Obligations; 04-24; 97-79

Outsourcing; 11-14

SIPC Information; 07-29

Clearly Erroneous Transactions

13-12; 10-4310-04

Clerical and Ministerial Activities 05-12
Closed-End Funds Proposed Amendment; 04-07
Close-Out Requirements 06-18 

Code of Arbitration Procedure

11-2311-22; 11-1711-0510-4010-37; 09-43; 09-36; 09-16; 09-13; 09-07; 08-62; 08-45; 08-44; 08-22

Rule Changes; 10-17; 10-16; 10-11; 09-48; 09-04; 07-57; 07-1307-0705-85; 04-59; 04-53; 02-59; 02-58; 02-13; 01-70; 01-29; 01-13; 01-04; 01-03; 00-64; 00-22; 99-96; 99-23; 98-90; 98-56; 97-59

Code of Mediation Procedure

08-79; 07-57

Code of Procedure (NASD Rule Series 9000)

Disciplinary Procedures; 11-50; 98-02; FYI, December 1997; 97-55
Exemptions; 97-60

Minor Rule Violation Plan; 13-32
Rule Changes; 11-5000-56; 99-73; 99-16; 99-01; 98-74; 98-52; 98-02; 97-60; 97-55

Cold Calling

Alias, Use of; FYI, May 1998
Foreign Jurisdictions, Soliciting Business in; 00-02
Interpretive Material; 97-58
Rule Changes; 05-07; 04-15; 97-57
United Kingdom, Soliciting Business in; 98-91

Collateralized Mortgage Obligations

TRN 8/1/2013

Commercial Bribery

14-15; 06-06

 

Commissions

13-07; 11-08; 08-36

Variable Life Settlements; 09-42

Commodity Pools (see Direct Participation Programs (DPPs))

Communications

(see also Electronic Communications, Online Communications)

14-10

Customer; 12-45

Forwarding of Communications; 02-33

Ghostwritten; 08-27

Institutional; 14-14; 12-29

Recruitment; 13-02

Retail; 14-1412-29

With the Public; 14-1413-45; 13-23; 13-18; 13-0312-2911-52; 11-4910-22; 10-19; 10-0909-73; 09-42; 09-31; 09-10; 08-73; 08-66; 08-39; 08-27; 07-49; 07-4307-0406-50; 05-34; 05-27; 05-2503-33; 01-45; 99-79; 97-37

With the Public - Social Networking; 11-3910-06 

Company-Related Actions

11-0910-38

Compensation

Cash and Non-Cash Compensation; 01-63; 99-55; 98-75
Fee-Based Compensation; 03-68
Guidance on; 01-85
Investment Company and Variable Contract Securities; 97-50

Limitations: 08-35; 04-13; 04-07
Public Offerings of Direct Participation Programs; 97-81
Salesperson Compensation; 99-81
Underwriting; 06-52; 02-55; 01-59; 00-12; 98-88

Complaints

14-20

Books and Records; 11-19

Consolidated FINRA Rule; 11-1011-06

Customer Complaints Filing Due Dates; IN 12/20/07; FYI, December 2003; FYI, December 2002; 96-85

Customer Complaints Reporting Requirements; 14-20; 11-32
Criminal and Civil Complaints, Arbitration Claims; 03-23

Erroneous Complaint Procedures; 00-10

Filing Requirements; 14-20

Online Filing; 14-20

Reporting, Customer Complaints; 11-1009-12; 08-47; 08-17

Technology Changes; 08-40

Compliance Programs and Policies

Anti-Money Laundering Compliance Programs; FYI, December 2002; 02-80; 02-78; 02-21
CEO Compliance Certification and CCO Designation; 04-79

Compliance and Supervisory Policies and Procedures; 03-29

Risk-Based Compliance; 12-22

Compliance Registered Options Principal

08-28

Computer Assisted Execution System (CAES)

Third Market Trading Rules; 98-05

Concentration Risk

10-57

Confidentiality

Proposed Rule; 97-12
Withdrawn Rule; 00-66

Confirmations 07-65; 07-35; 05-21

Conflicts of Interest

Compensation; 13-02

Public Offerings; 13-43; 10-60; 09-49

Research; 12-42; 12-09

Research Analysts and Reports; 11-41; 11-1106-36

Volume-Weighted Average Price Transactions; 06-5205-51

Consolidated Quotation System (CQS)

Third Market Trading Rules; 98-05

Consolidated Rulebook (FINRA)

Approval and Effective Dates; 10-6210-47; 10-4510-35; 10-21; 10-10; 09-72; 09-71; 08-78; 08-57

Process; IN 10/6/08; IN 3/12/08

Requests for Comment; 10-03; 10-01; 09-25; 09-22; 09-15; 09-03; 09-02; 08-55; 08-26; 08-25; 08-23

Consultative Committees

Establishment of; 03-10

Consumer Reports

08-69

Contact Information

09-02; 07-42

Contingency Planning (see Business Continuity Planning)

Continuing Education Program

12-45; IN 6/9/08; 01-74

Chief Compliance Officers; 01-51
Compliance Software; FYI, November 1997
CRD Notification; 01-17; 01-07; 00-35

Disaster Recovery; 07-49
Exemptions; 05-20; 04-78

Fees; 11-36; 05-79; 03-81
Firm Element Advisory; IN 4/11/201414-16IN 10/18/2013; 13-33; 13-14; IN 4/12/1312-43; 12-2011-47; IN 10/14/11IN 4/15/1111-1810-20; IN 4/15/10; 09-26; 08-63; IN 10/31/08; 08-29; IN 6/9/08; 07-56; 07-26; 06-65; 06-63; 05-68; 04-76; 03-57; 02-70; 01-72; 00-75; 99-78; 98-28; 97-09
Firm Element Practices; 13-3397-66
Foreign Deferrals; 03-40
General Program (S101); 01-71
In-Firm Delivery; 03-40

Limited English Proficiency; IN 8/1/12

Operations Professionals; 11-33; 10-25
Planning; IN 10/19/12; IN 5/20/09; IN 6/9/08; IN 11/26/07

PROCTOR; 96-87
Regulatory Element; IN 9/20/2013;  IN 11/28/11IN 4/20/10; 04-78; 04-22; 04-12; 03-81; 03-40; 02-77; 02-02; 01-74; 01-73; 01-71; 01-50; 01-17; 01-07; 97-65
Rule Amendments; 09-41; 03-44; 02-12; 01-14; 98-59; 98-35; 98-23
Scheduling Procedures; FYI, June 1998
Series 6 Program (S106); 02-02; 01-71
Status Report; 02-22; 98-68
Testing; FYI, November 2001; 01-73; FYI, June 2001

Continuing Membership Application (CMA)

13-29; 12-3310-01

Fee; 13-11

Fee Waiver; 13-11

Contrary Exercise Advice

10-36; 06-51

Violations; 08-33

Control Entity

09-49; 09-27; 07-27

Conventional Index-Linked Options

Options Disclosure Document; IN 6/15/2010

Convertible Debt

TRN 2/22/08

Corporate Financing

Charitable Organizations Offerings; 99-17

COBRADesk; 12-22;

Electronic Filing; 02-26; 99-41

Exemption from Timely Filing; 12-22;
Fees; 07-0500-85; 99-50; FYI, January 1999

Limited Corporate Financing Brokers; 14-09
Rule Changes; 04-1397-82

Corporate Restructuring

14-09;

Correspondence

14-14; 12-2909-10; 08-73; 08-24

Consolidated Financial Account Reports; 10-19

Credit Regulation; 07-49;

General; 07-59; 07-30

Rule Changes; 06-45; 99-03; 98-83
Supervision, Review and Record Retention; FYI, May 1998; 98-11

Cost-Basis Information

04-47

Covered Accounts

IN 7/1/09; 08-69

CQS (see Consolidated Quotation System)
CRD (see Central Registration Depository)

Credit Default Swaps

11-31IN 2/7/11; 09-30; 05-77

Creditors

IN 7/1/09; 08-69

Credit Ratings

Municipal Securities; 10-41

Crowdfunding

13-34;12-34

Custody

10-61

Customer

Acting in Customers’ Best Interests; 12-25
Institutional-Customer Exemption; 12-25
Information Gathering; 12-25
Investment Strategies; 12-55; 12-25

Customer Accounts

Books and Records; 11-48; 11-19

Borrowing; 10-21; 04-14; 03-62
Changes of Address; 08-69

Communication; 07-49

Customer Dispute Information; 04-16

Disaster Recovery; 07-49

Discretionary Power; 08-64

Funds and Securities; 10-03

Lending; 10-21

Margin; 10-08
Refunds; 03-47
Sharing; 03-21

Statements; 11-44; 09-09; 08-77

Transfers; 13-0209-20; 07-50; 04-72; 02-57

Customer Account Protection

12-05

Customer Confirmations

10-62

Customer Complaints

(see Complaints)

Customer Identification Programs

03-34

Customer Mail

Holding; 14-10

Customer Orders

Handling of Customer Orders; 12-50

Stop Orders; 12-50

Stop Limit Orders; 12-50

Customer Order Protection

12-52

Customer Protection

14-06; 13-44; 08-56

FDIC Guaranteed Debt; 09-38

Money Market Mutual Funds; 08-60

Retail Forex; 08-66

U.S. Long-Term Credit Rating; 11-38;

Customer Reserve Formula Computation

12-5407-60