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Administrative Changes to the Continuing Education Regulatory Element Programs
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
November 2012 Supplement to the Options Disclosure Document
FINRA Entitlement User Account Certification
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
The SEC’s regular appropriation has been enacted and, effective January 25, 2008, the Section 31 rate applicable to securities transactions will decrease from $15.30 per million to $11.00 per million dollars.
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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