Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Notice of FINRA District Committee Election and Ballots
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, October 21, 1996. The information relating to matters contained in this Notice is current as of the end of September. Information received subsequent to the end of September is not reflected in this edition.
Firms Expelled, Individuals Sanctioned
Beacon Securities, Inc. (New York, New York), Gary L.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
Guidance on Reporting Electronic Communications Network (ECN) Transactions
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
