SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
April 2008 Supplement to the Options Disclosure Document
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
On July 10, 2009, FINRA halted over-the-counter trading in Motors Liquidation Company (formerly known as General Motors Corporation) because it believed the trading volume in the security represented a potential widespread misunderstanding that this security may be related to interests in the new General Motors Company, as opposed to Motors Liquidation Company.
SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
New FTC Red Flags Rule Template
FINRA Recommends Review of Municipal Securities Activities
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
SEC Approval and Effective Date for New Consolidated FINRA Rules
