SEC Approves New Requirements for Alternative Trading Systems
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Continuing Education
Planning
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
