Continuing Application of NASD Rules and Incorporated NYSE Rules
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: January 16, 2009
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
Notice of SFAB Election and Ballots
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
