Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
SEC Approves Rule Change to Amend FINRA's Gross Income Assessment; Effective Date: January 1, 2008
Election Results for District Committees and District Nominating Committees
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
GUIDANCE
Bond Mutual Fund Volatility Ratings
Effective Date: December 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal and Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
IM-2210-5
Rule 2210
Executive Summary
On
GUIDANCE
Supervisory Controls
Effective Date: February 14, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Rule 3012 (Supervisory Control Systems)
Executive Summary
On November 18, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
