Effective February 5, 2009, firms may supervise "market letters" as correspondence rather than sales literature, unless the letters are distributed to 25 or more existing retail customers within any 30-calendar-day period and make a financial or investment recommendation or otherwise promote the firm's product or service.
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
SEC Approves Amendments to FINRA Trade Reporting Rules
SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
