-
SEC Release No. 34-59062
Amendment to Municipal Securities Disclosure
12/10/2008
-
FINRA Regulatory Notice 08-74
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
12/8/2008
-
FINRA Regulatory Notice 08-73
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
12/5/2008
-
CBOE Regulatory Circular RG08-155
Revisions to Options Communications Rules
11/24/2008
-
CBOE Regulatory Circular RG08-156
Gratuities Policy – Rule 4.4
11/24/2008
-
FINRA Regulatory Notice 08-63
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10/31/2008
-
AMEX Reg 2008-42
SEC Emergency Order Prohibiting Short Sales in Financial Firms Covered Securities for September 23, 2008 - REVISED - attachments show updates from prior day
9/24/2008
-
CBOE Regulatory Circular RG08-115
SEC’s Amended Emergency Order Prohibiting Short Sales in Certain Securities
9/24/2008
-
NASAA Headline - 9/22/08
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
9/22/2008
-
AMEX Reg 2008-35
New Rules Issued by SEC on Naked Short Selling
9/17/2008
Industry News
