FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
NASD
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
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