GUIDANCE
Anti-Money Laundering Compliance
Programs
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance ProgramsIM-3011-1IM-3011-2Rule 3011
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 3011 and the adoption
of IM-3011-1 and IM-3011-2.1 The
REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and GratuitiesRule 3060
Executive Summary
NASD is proposing interpretive
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)
