March 2011 Supplement to the Options Disclosure Document
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Special Election to Fill a FINRA Large Firm Governor Vacancy
GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
Notice of SFAB Election and Ballots
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
SEC Approval and Effective Dates for New Consolidated FINRA Rules
