SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
New FTC Red Flags Rule Template
FINRA Recommends Review of Municipal Securities Activities
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
SEC Approval and Effective Date for New Consolidated FINRA Rules
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
