Notices Subject Index – M

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Maintenance Fees

07-0106-5906-0205-7305-0104-74; 04-02

Maintenance Loan Value

11-3011-16

Maintenance Margin Requirements

08-65; 08-60; 08-08

Mandatory FINRA Membership for NYSE Member Organizations

07-52

Manipulative and Deceptive Quotations 06-50

Manning Rule

Extension; 00-70
Limit Orders; 11-24; 08-49; 08-31; 07-19; 06-03; 05-69; 05-64; 03-74; 98-05; 97-57

Manual, FINRA

09-50; 09-33; 09-11; 08-78; 08-57; IN 10/6/08; IN 9/15/08; IN 3/12/08

Online Version; 98-58

Margin

13-39

Consolidated FINRA Rule; 10-45

Low-Priced Equity Securities; 11-15

Methodology; 11-31

Margin Requirements

08-09

Complex Option Spread Strategies; 06-26

Credit Default Swaps; 11-31

Cross-Guaranteed Accounts; 98-102
Day-Trading Accounts; 11-30; 04-38; 01-26; 98-102
Disclosure; 02-35; 01-37; 01-31; 00-61
Extension Process; 07-49

Maintenance; 12-44; 09-30; 08-65

Non-Margin Eligible Equity Securities; 11-30; 11-16

Portfolio Margin Pilot Program; 07-11

Risk Disclosure Statement; 07-14

Rule Changes; 07-14; 06-26; 03-66; 01-26; 01-11; 00-51
Volatile Stocks; 99-33

Margin Securities

Borrowing or Lending Customer Margin Securities; 10-03

Mark-Downs

13-0708-36

Mark-Ups

11-08; 08-36; 07-28; 01-59

Debt; 08-43

Policy; 13-07; 08-36

Market Data

Electronic Distribution; 99-37

Market Letters

09-10

Market Makers

Bona Fide Market Making; 08-50; 06-53

Limit Order Protection; 03-74
Primary Market Maker; 97-52
Prohibition on Receiving Payments; 97-46; 96-83
Quotation Reporting; 03-28
Registration; 97-52
Short-Sale Exemption; 97-15
Supervision, Market Making; 98-96
Withdrawals and Reinstatements; 98-06

Market Orders

08-31

Manning Rule; 11-24; 08-31; 06-03; 05-69

New Issues; 12-2411-29

Protection; 11-24; 08-31

Trade Shredding; 06-19

Market Regulation

Access to Quotations; 05-30

Compliance Report Card; FYI, June 1999
Email Contact Information; FYI, December 2002
Market Regulation Committee; 03-32; 03-10
Short Interest Reporting; FYI, December 2002

Master/Sub-Accounts

10-18

MC-400 Application 05-12

Mediation

12-57

Code of Mediation Procedure; 12-3507-57; 07-0705-85

Dispute Resolution Regional Offices; 06-49

Dispute Resolution Subsidiary; 99-100
Fees; 08-45; 02-83; 00-64

Mediator Selection; 12-35
Mediators as Arbitrators; 05-36

New Hearing Locations; 03-02; 02-16; 02-11

Representation of Parties; 07-57

Member Organizations

Employment and Association With; 08-64

Limitations; 08-64

Member Private Offerings (MPOs)

11-0409-27; 07-27

Member Firms

Address, Contact Changes; 00-14; 99-36; 98-53; 97-20
Application Process; 13-2910-01; 07-52; 04-10; 03-56; 02-54; 98-02; 97-55
California Disclosure Standards; 03-25; 02-68
Continuation Process; 04-1002-54
Dual Members; 08-64

Membership Agreement; 13-29

Membership Agreement Change; 10-01

Membership Applications; 12-45

Membership Application Appeals; 13-27

Membership Application Fee; 13-11

Membership Procedures; 97-32

Membership Rules; 13-29; 09-42; 09-33; 08-66; 04-10; 00-73; 99-67

Membership Waive-In Application; 07-52

New Member Application; 13-2912-3310-01; 08-14; 07-20; 06-16

Mergers and Acquisitions 07-54; 04-83

Military Personnel and National Guard

12-45; 07-49

Minimum Price Improvement

11-2410-4209-14

Standards; 08-49

Minor Rule Violation Plan (MRVP)

13-32; 08-33; 07-51; 05-7104-77; 04-2304-19; 01-54

Mission-Critical Systems

04-37

Mixed Capacity Trading

12-07

Guidance on; 01-85

Money Laundering (see Anti-Money Laundering)

Money Market Mutual Funds

Maintenance Margin Requirements; 08-60

Net Capital; 08-60

Reserve Formula Requirements; 08-60

Temporary Guarantee Program; 08-58; 08-48

Mortgage-Backed Securities

12-48

Calculating Haircuts; FYI, June 1997

Multi-Family Agency Pass-Through Mortgage-Backed Securities Transactions; TRN 12/21/11

Reporting; 10-23

Motions to Dismiss

11-2309-07

Multiple Market Participant Identifiers 06-42

Municipal Securities

Sales Practice Obligations; 10-41; 09-35; 04-30

Transaction Reporting; 04-95; 00-08

Transactions; 13-17; 11-28

Municipal Securities Rulemaking Board (MSRB)

Rule G-3; FYI, December 2002
Rule G-12; 04-95; 03-13; 00-08
Rule G-14; 04-95; 03-13; 00-08

Rule G-17; 08-21
Rule G-37, Exemptions; 00-37; 00-09; 99-14; 98-51; 97-51

Mutual Funds

Bond Mutual Fund Volatility/Risk Rating; 03-48; 01-58; 00-23; 96-84
Breakpoints; 03-47; 98-98
Expenses; 03-77
Interval Funds; 00-53
Related Performance Information; 06-48; 00-21; 97-47
Sales Charges; 99-103; 98-107
Sales Practice Obligations; 04-30

Supervision of Recommendations After a Registered Rep Changes Firms; 07-36; 07-06

Transactions; 03-50; 02-85

Transfers; 04-72