Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
FINRA's process for generating andmailing certain invoices related to charges for usage of the ORF and the OTCBB will change on April 1, 2008.
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
Effective March 26, 2008, principal approval is no longer required for certain previously filed sales material.
Electronic Filing
Regulatory Notice
Referenced Rules & Notices
NASD Rule 3170
NTM 06-61
Key Topics
Electronic Filing Requirements
Suggested Routing
Compliance
Legal
Operations
Senior Management
Executive
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
Supervision of Recommendations
after a Registered Representative
Changes Firms
Regulatory Notice
Notice
Type
Guidance
Referenced Rules & Notices
NTM 07-06
SEC Regulation S-P
Suggested
Routing
Compliance
Executive Representatives
Legal
Operations
Senior Management
Key Topic(s)
SEC Regulation S-P
Mutual Funds
Registered Representatives
Supervision
Variable Products
Executive
