FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
SEC Approves Amendments Relating to Stop Orders
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Guidance to Members Affected by Hurricane Sandy
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
On October 19, 2012, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
