Notices Subject Index – E

15-32

Effective Dates

Consolidated Rules; 09-50; 09-40; 09-33; 09-20; 09-11; 08-57; IN 10/6/08

Elections

(see Board of Governors, District Offices; FINRA; National Adjudicatory Council; Small Firm Advisory Committee (SFAC))

Electronic Communication Networks

TRN 2/19/08

Books and Records; 11-19
Rule Changes; 04-68; 03-69; 98-85
 

Electronic Communications

07-30

Email; 01-17; 00-14; 98-108; 98-77; 98-03; 97-97
Electronic Filing; 02-26; FYI, June 1997
Electronic Update of Member Information; 97-97
Instant Messaging; 03-33
NASDAQ Issuers; FYI, February 1998
Registered Representatives, Meetings with; 98-18
Supervision of; 07-59; 07-30

Electronic Filing Requirements

17-15; 16-05; 14-39; 14-22; 09-40; 08-76; 08-11; 06-61

Annual Report; 17-07
Debt Research Reports; 11-10

Electronic Municipal Market Access System (EMMA)

10-41; 09-35

Eligibility

Of Arbitration Claims; 09-07; 05-10
Proceedings; 09-19

Emergency Preparedness

05-57; 02-23

Emergency Contact Information; 07-42; 04-37
Emergency Office Relocation; 12-45; 07-49

Employment Disputes

02-07; 01-36

Encryption

8210 Requests; 10-59

Enforcement Actions

Engagement

SN 03/21/17

Enhanced Brokers’ Internet Platform

14-03

Entitlement Program

IN 10/28/11

Super Account Administrator; IN 3/24/10

Equity

Equity-Indexed Annuities

05-50

Equity-Linked Notes

TRN 7/28/08; TRN 7/1/08; TRN 2/22/08

Escrow

16-08

Estimated

Annual Income; 08-77
Yield; 08-77

ETFs

(see Exchange-Traded Funds)

Examinations

Scheduling; FYI, December 2002
Qualification Examinations; 11-33; 10-25; 05-70; 03-37; FYI, March 2003; 02-27; FYI, November 2001; 01-32; FYI, March 2001

Excess Spread Rule (NASD Rule 4613)

Elimination, NASDAQ Securities; 97-76
Elimination, Third-Market Securities; 98-5

Exchange Offers

Member Obligations; 97-82

Exchange Traded Funds

14-22; 11-49; 11-40; 09-34

Exemption for Exchange-Traded Fund Offerings; 12-27;
Leveraged and Inverse; 09-31

Ex-Dividend Dates

00-54

Executive Representative

Contact Information; 07-42; 00-14; 99-36; 98-108; 98-53; 97-20
Requirements; 04-32

Exempted Securities

16-03; 01-63

Exercise-by-Exception

06-51

Exercise Limits

08-10; 08-04; 07-37; 07-08; 07-03; 06-46; 06-09; 05-56; 05-31; 05-06; 03-19

Exercise Procedures

11-35; 06-51

Expedited Proceedings

13-27; 10-31; 10-13; 04-36

Expense-Sharing Agreements

03-63

Expiring Exercise Declaration

10-36

Explained Arbitration Decisions

09-16

Expungement

04-43; 04-16; 01-65

Extension Processing

10-28; 08-53; 08-32

Extension of Time Requests

14-13; 10-45; 06-62; 06-30

Extensions or Credit and Securities Delivery

06-31

Extraordinary Market Volatility

 16-19; 10-30