SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
Effective January 1, 2008,1 Dual Member firms will not be required to disclose the name of the securities market on which the transaction was effected on confirmations or reports as required under NYSE Rule 409(f).
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T 220.8 and SEC Rule 15c3-3(m) and (n)margin extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
