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FINRA Information Notice 10/19/2012
Continuing Education Planning
10/19/2012
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FINRA Regulatory Notice 12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10/19/2012
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FINRA Regulatory Notice 12-39 - Trade Reporting and Compliance Engine
FINRA Requests Comment on TRACE Dissemination Issues Comment Period Expires: October 10, 2012.
9/27/2012
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Regulatory Notice 12-40
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities. Effective Date: December 3, 2012
9/12/2012
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FINRA Election Notice - Small Firm Advisory 9/5/12
Nomination Deadline: October 5, 2012
9/5/2012
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FINRA Information Notice 8-28-12
Guidance for Firms Potentially Affected by Hurricane Isaac
8/29/2012
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FINRA Regulatory Notice 12-38 - Short-Interest Reporting
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule Effective Date: November 30, 2012
8/27/2012
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FINRA Information Notice 8-17-12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
8/22/2012
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FINRA Regulatory Notice 12-37 - OTC Equity Quotation Size
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis. Effective Date: November 5, 2012
8/6/2012
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FINRA Information Notice 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session Effective Date: September 1, 2012
8/2/2012
Industry News
