Displaying 1881 - 1890 of 34826 Results
January 2012 Supplement to the Options Disclosure Document
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
New Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530