Regulatory Notice 08-33
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
Effective June 6, 2008, FINRA's MRVP was expanded to include violations of options position and exercise limits and contrary exercise advice procedures. The amended text of IM-9216, which describes FINRA's MRVP, is set forth in Attachment A of this Notice.
Questions concerning this Notice should be directed to Stan Macel, Assistant General Counsel, Office of General Counsel, at (202) 728-8056.