Treatment of Non-Margin Eligible Equity Securities
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
FINRA Revises Sanction Guidelines
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement
SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
May 2010 Supplement to the Options Disclosure Document
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Continuing Education Planning
