The SEC has enacted its regular appropriation under Section 31 of the Securities Exchange Act of 1934. Effective January 15, 2010, the Section 31 fee will decrease the rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets from$25.70 per million dollars to $12.70 per million dollars. This fee rate will remain in place until further notice.
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
SEC Approval and Effective Dates for New Consolidated FINRA Rules
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T and Securities Exchange Act Regulation 15c3-3 extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
Questions regarding this Notice should be directed to
Debra German,
Upcoming District Committee and District Nominating Committee Elections
Certification of Annual Audits
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
