Upcoming FINRA Board of Governors Election
Guidance for Firms Potentially Affected by Hurricane Isaac
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
<p>NASD Rule 1020 Series - Registration of Principals</p>
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
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 (
CE Online and S101 Personalization
Revised Fee for Fingerprint Processing
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Change for Scheduling Exam and CE Sessions
