Guidance

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

Guidance on Social Networking Websites and Business Communications

Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s

FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices

FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91

Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official 9as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.

FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date

Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)

New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations

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

Treatment of Non-Margin Eligible Equity Securities

FINRA Revises Sanction Guidelines

FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act

FINRA Revises the Sanction Guidelines

The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.

SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions

Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs

Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses

Sales Practice Obligations for Commodity Futures-Linked Securities

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

Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants

FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.

New Alert-Reporting Criterion for Leverage in FOCUS Reports

FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market

Obligation to Provide Timely, Complete and Accurate Information on Form U5