2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SEC Approval and Effective Date for New Consolidated FINRA Rule
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
December 2009 Supplement to the Options Disclosure Document
