Guidance

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Request for Interpretive Guidance Under NASD Rule 2711

SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities

The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.

Guidance on FINRA’s Suitability Rule

Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays

FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy

Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP

In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

Guidance to Members Affected by Hurricane Sandy

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).

The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). As part of this review, TEU is requesting the following information.

FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions

FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.

Additional Guidance on FINRA’s New Suitability Rule

FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Exemptive Letter to Michael R. Modeski, OTC Link LLC

SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA

Heightened Supervision of Complex Products