1. FINRA Regulatory Notice 11-43 - Indications of Interest

    FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest. Comment Period Expires: October 21, 2011

    9/21/2011

  2. FINRA Regulatory Notice 11-43

    FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest. Comment Period Expires: October 21, 2011

    9/20/2011

  3. FINRA Regulatory Notice 11-42

    Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period

    9/16/2011

  4. MSRB NOTICE 2011-54 (September 13, 2011)

    RULE CHANGES FILED WITH SEC REGARDING QUALIFICATION AS A MUNICIPAL SECURITIES REPRESENTATIVE AND INFORMATION CONCERNING ASSOCIATED PERSONS

    9/15/2011

  5. FINRA Regulatory Notice 11-41 - Research Analysts and Research Reports

    FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business

    9/13/2011

  6. Regulatory Notice 11-39 - Guidance on Social Networking Websites and Business Communications

    Social Media Websites and the Use of Personal Devices for Business Communications

    9/6/2011

  7. Regulatory Notice 11-40 - Trade Reporting

    SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution

    9/6/2011

  8. FINRA Regulatory Notice 11-39

    Social Media Websites and the Use of Personal Devices for Business Communications

    8/26/2011

  9. CBOE Regulatory Circular RG11-089

    Registration and Qualification Requirements Qualification Examination Waivers and Exemption for Restricted Access

    8/8/2011

  10. FINRA Regulatory Notice 11-36 - Testing and Continuing Education

    Changes to Fees for Canceling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session

    8/8/2011

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