FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Small Firm Advisory Board Runoff Election
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Change to Form U4 Regarding the Reporting of Judgment/Lien Events
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
