08-06

IN 7/1/09; 08-69

10-12

(see Foreign Corrupt Practices Act)

09-38; 08-75

Regulation T; 08-65; 08-60; 08-53; 08-32; IN 12/21/07; 06-62; 06-30; 05-47; 04-38; 03-66; 99-102; 98-43
Regulation U; 98-43
Regulation X; 98-43

Advertising and Sales Literature; 06-48; FYI, June 2001; 98-97
Arbitration and Mediation; 08-45; 04-60; 03-64; 01-70; 00-64; 99-84; 99-23; 98-61; 98-01; 97-71
Branch Office Registration Fee; 06-25

Branch Office System Processing Fee; 06-25

Chicago Board of Options Exchange; FYI, July 1999

Company-Related Actions; 11-09; 10-38
Corporate Financing; 07-05; 99-50; FYI, January 1999
CRD/IARD Renewals; 03-01; 02-67; 02-48; FYI, February 2002; 02-03; 01-75; FYI, February 2001
Duplicate; 04-04
Examinations, NASD; 04-73

Examinations, NYSE; 99-75

Extension of Time Requests Fee; 06-30

Fee-Based Compensation; 03-68
Finders Fees; 97-11
Fingerprint Processing Fees; IN 9/20/07; 03-41
Form Filing Fees; FYI, December 2000
Gross FOCUS; 08-07

Late Fees; 04-09; 01-54
Maintenance Fees; 03-61; 03-01
NASD Regulatory Fee;02-63; 02-41; 02-09
Nebraska Fees; FYI, July 1999
North Dakota Fees; FYI, July 1999
Pennsylvania Fees; FYI, July 1998
Performance Fees; 01-24

Qualification Examinations; 08-61
Referral Fees; 97-11

Registration; 08-07
Regulatory; 08-07; 05-11

SEC Transaction Fees; 04-63; 97-62; 96-81

Section 31 Fee; IN 1/8/08; IN 10/5/07
TRACE Fees; 10-23; 10-14; 02-81
Trading Activity Fee; 08-37; 03-43; 03-30; 02-75; 02-63; 02-41
Unpaid Fees; 02-83
Utah Fees; FYI, July 1999
Variable Life Settlements; 09-42

West Virginia Fees; FYI, June 1997

11-21; 09-44

Requirements; 98-67

Use of Information Obtained; 09-72

Recording Examinations; 00-18

Due Dates; IN 12/20/07

Forms U5; 11-06

Requirements; 11-06; 10-08; 09-02

Financial-Related Insurance Matters; 11-32

Institutions; 08-69

Responsibility; 11-26; 10-15; 10-08; 09-71; 09-03; 08-56; 08-23

11-28

04-33; 02-05

10-44

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

07-55

Best Practices; 05-39

(see BrokerCheck)

(see Manual, FINRA)

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

08-26

08-67; 08-40

Firm Quote Compliance System (FQCS); 97-67
Report Cards; FYI, August 2000
Rule Changes; 99-61
Rule Compliance; 00-42

(see also Trade Reporting and Compliance Engine (TRACE))

Additions/Changes/Deletions; 02-42; 02-36; 02-30; 02-24; 02-18; 02-14; 02-08; 01-83; 01-76; 01-68; 01-61; 01-55; 01-48; 01-40; 01-33; 01-28; 01-21; 01-15; 01-09; 00-87; 00-81; 00-76; 00-68; 00-57; 00-47; 00-39; 00-31; 00-24; 00-19; 00-11; 00-05; 99-107; 99-93; 99-87; 99-82; 99-72; 99-60; 99-47; 99-38; 99-30; 99-24; 99-19; 99-07; 98-104; 98-95; 98-87; 98-79; 98-70; 98-57; 98-45; 98-41; 98-36; 98-31; 98-25; 98-13; 97-95; 97-85; 97-73; 97-64; 97-54; 97-44; 97-40; 97-33; 97-22; 97-18; 97-07; 97-03; 96-91
Quotation Obligations; 98-55; FYI, February 1998; 98-10
Transaction Reporting; 01-18; 98-55; FYI, February 1998; 98-10

11-11

10-47; 09-45

10-60; 02-55

Deadlines; IN 12/1/11, FYI, December 2004; FYI, December 2003; FYI, December 2002; FYI, December 2001; 98-100
Disclosure; 02-05

FAS 167; 10-12

Financial Accounting; 04-33

PAIB Reserve Formula Computation; IN 12/20/07; 07-60; FYI, June 2002
PC FOCUS; FYI, September 1998; FYI, July 1998
Requirements; 10-44; 04-35; 04-33

Supplemental; 10-46; 10-33

Web-Based FOCUS Filing System; 99-70

11-12

09-06

Exchange; 08-66

OTC Bulletin Board Eligibility; 98-07

Foreign Corrupt Practices Act Obligations; 11-12

Soliciting Business Internationally; 11-34

08-80; 08-51; 07-40; 07-25

09-06

Annual; 09-02

Electronic Filing; 02-26; FYI, March 2002; FYI, December 2001; 01-60; FYI, December 1999; 99-101; 99-63; 99-56
Form 211; 06-27; 99-26
Form ADV (SEC Form, Registered Investment Advisors); 05-66

Form ATS; 09-46

Form BD (Broker/Dealer Registration); 08-03; 07-10; FYI, December 1999; 99-63; 98-27
Form BDW (Broker/Dealer Withdrawal); 08-03; 07-10; 99-63

Form BR (Uniform Branch Office Registration Form); IN 2/21/08; 08-03; 06-12; 05-67; 05-66
Form NMA (New Member Application); 07-20

Form T; TRN 6/3/11

Forms U4 (Uniform Application for Securities Industry Registration or Transfer), U5 (Uniform Termination Notice); 11-06; 10-39; 09-40; 09-23; 09-12; 08-20; IN 2/21/08; 08-03; 07-55; 07-49; 07-41; 07-10; 05-66; 04-77; 04-09; 03-56; 03-42; 02-20; 99-63; 98-101; 98-27; 97-77; 97-31
Form U6 (Uniform Disciplinary Action Reporting Form); 07-10

08-69; 07-43

Amendments; 00-12; 98-48; 97-30
Elimiation of Free-Riding Questionnaires; FYI, December 2002
Exemptive Letter; FYI, June 1999
Obligations; 04-20; 97-91

IPO Distribution Manager; 04-20
Rule 2790; 03-79

08-83

10-57

Bank Secrecy Act Recordkeeping Rule; 97-13

09-06