Displaying 27421 - 27430 of 28151 Results
January 2011 Supplement to the Options Disclosure Document
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
• Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With
New Rate for Fees Paid Under Section 31 of the Exchange Act
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Certification of Annual Audits
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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)
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.