SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
FINRA Provides Guidance on New Rules Governing Communications With the Public
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
January 2012 Supplement to the Options Disclosure Document
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
New Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
