FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
Notice of SFAB Election and Ballots
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
September 2008 Supplement to the Options Disclosure Document
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act; Effective Date: April 1, 2008
