Displaying 1111 - 1120 of 34762 Results
Election Notice - 9/4/09
FINRA Small Firm Advisory Board Election
Regulatory Notice 09-53
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Regulatory Notice 09-52
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
Regulatory Notice 09-51
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Regulatory Notice 09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
Regulatory Notice 09-49
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
Regulatory Notice 09-48
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Regulatory Notice 09-47
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
Regulatory Notice 09-46
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
Regulatory Notice 09-45
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering