• 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
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)
Rule 1022(f)
Rule 1022(g
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Upcoming Election to Fill FINRA District Committee Vacancies
