9600. PROCEDURES FOR EXEMPTIONS

Regulatory Notice 16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
April 27, 2016
Regulatory Notice 15-31
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
August 26, 2015
Regulatory Notice 15-30
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
August 26, 2015
Regulatory Notice 12-29
SEC Approves New Rules Governing Communications With the Public
June 14, 2012
Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
August 14, 2009

9600. PROCEDURES FOR EXEMPTIONS

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2017 Exam Findings Report
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About FINRA
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401(k)
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Agency Bonds
Algorithmic Trading
Alternative and Complex Products
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Annual Audit
Anti-Money Laundering
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Asset Backed Securities
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Back testing
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Market Access
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Military
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Update a Firm's Registration
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Women