Technology Changes for Reporting Certain Complaint
and Disclosure Information
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
Regulatory Notice 08-36 - SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
FINRA Announces the Effective Date of Modifications to the TRACE System; Effective Date: August 4, 2008
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
