SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
Continuing Education Planning
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Effective February 5, 2009, firms may supervise "market letters" as correspondence rather than sales literature, unless the letters are distributed to 25 or more existing retail customers within any 30-calendar-day period and make a financial or investment recommendation or otherwise promote the firm's product or service.
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
