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Regulatory Notice 10-61 Independent Verification of Assets
SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution
12/1/2010
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Encryption of Rule 8210 Information - FINRA Regulatory Notice 10-59
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information provided Via Portable Media Device
11/1/2010
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Regulatory Notice 10-60 Approval of New Issue Rule
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
11/1/2010
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FINRA Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
4/20/2010
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Regulatory Notice 10-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
4/15/2010
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Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
4/15/2010
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FINRA Regulatory Notice 10-19
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
4/8/2010
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CBOE RG10-046
Market-Maker Joint Account Trading in Open Outcry
4/7/2010
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FINRA Regulatory Notice 10-18
FINRA Issues Guidance on Master and Sub-Account Arrangements
4/6/2010
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CBOE Regulatory Circular 10-18
Information Barriers of DPMs and eDPMs
1/29/2010
Industry News
