New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
