-
NASD Notice to Members 06-72
Amendments to Rule 2340 Requiring Customer Account Statements to Include a Statement Reminding Customers to Report Inaccuracies in Their Accounts in Writing; Revised Effective Date: May 31, 2007
12/22/2006
-
NYSE Information Memo 06-84
Prohibition Against Pre-Arranged Trading
12/22/2006
-
NYSE Information Memo 06-85
Amendment to Rule 607 Concerning The Random List Selection Method of Arbitrator Appointment
12/22/2006
-
NYSE Information Memo 06-86
Amendments to NYSE Rules 431 And 726 That Expand Customer Portfolio Margining
12/22/2006
-
NYSE Information Memo 06-87
SIPC Information for Customers
12/22/2006
-
AMEX Notice Reg 2006-63
REG 2006-63: AEMI - Selected Regulatory Matters - UPDATED
12/20/2006
-
NASD Notice to Members 06-71
Clarification of Exemption for Market Makers Acting in the Capacity of Exchange Market Maker and Interpretive Guidance Relating to Riskless Principal Transactions
12/20/2006
-
SEC Final Rule 33-8760
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
12/18/2006
-
NASD Notice to Members 06-69
NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others)
12/5/2006
-
NASD Notice to Members 06-68
SEC Approves Amendments to Rule 2340 to Allow DVP/RVP Customers to Elect Not to Receive Account Statements
12/1/2006
Industry News
