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Firm Element

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  1. CBOE Regulatory Circular 10-18
    Information Barriers of DPMs and eDPMs
    Date posted: 1/29/2010
  2. CBOE Regulatory Circular 10-18
    Information Barriers of DPMs and eDPMs
    Date posted: 1/29/2010
  3. FINRA Regulatory Notice 10-06
    Guidance on Blogs and Social Networking Web Sites
    Date posted: 1/25/2010
  4. FINRA Regulatory Notice 10-05
    FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
    Date posted: 1/21/2010
  5. FINRA Regulatory Notice 09-73
    FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
    Date posted: 12/17/2009
  6. FINRA Regulatory Notice 09-64
    Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
    Date posted: 11/13/2009
  7. CBOE Regulatory Circular RG09-122
    Supervision of Electronic Communications and Electronic Storage of Records
    Date posted: 10/28/2009
  8. FINRA Regulatory Notice 09-61
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/23/2009
  9. MSRB Notice 2009-50
    Notice Concerning Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
    Date posted: 9/16/2009
  10. CBOE Regulatory Circular RG09-100
    Prearranged Trades
    Date posted: 9/10/2009
  11. FINRA Regulatory Notice 09-51
    SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
    Date posted: 8/21/2009
  12. FINRA Regulatory Notice 09-40
    SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
    Date posted: 7/28/2009
  13. SEC Release No. 34-60388
    Amendments to Regulation SHO
    Date posted: 7/28/2009
  14. FINRA Regulatory Notice 09-28
    FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
    Date posted: 7/16/2009
  15. CBOE Regulatory Circular RG 09 – 060
    Continuing Education Firm Element Advisory
    Date posted: 5/26/2009
  16. FINRA Information Notice - May 20, 2009
    Continuing Education Planning
    Date posted: 5/20/2009
  17. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009
  18. CBOE Regulatory Circular RG09 - 24
    Amendments to CBOE Rule 4.21, Third Party Deposits Prohibited
    Date posted: 2/17/2009
  19. FINRA Regulatory Notice 09-11
    SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
    Date posted: 2/17/2009
  20. FINRA Regulatory Notice 09-10
    SEC Approves Rule Relating to Supervision of Market Letters
    Date posted: 2/5/2009
  21. FINRA Regulatory Notice 09-09
    ustomer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs)
    Date posted: 2/4/2009
  22. SEC Release No. 34-59062
    Amendment to Municipal Securities Disclosure
    Date posted: 12/10/2008
  23. FINRA Regulatory Notice 08-74
    FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
    Date posted: 12/8/2008
  24. FINRA Regulatory Notice 08-73
    SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
    Date posted: 12/5/2008
  25. FINRA Regulatory Notice 08-63
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/31/2008
  26. NASAA Headline - 9/22/08
    Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
    Date posted: 9/22/2008
  27. SEC Final Rule 34-58464
    Exemption From Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers
    Date posted: 9/5/2008
  28. FINRA Regulatory Notice 08-30
    Guidance Relating to Illiquid Investments
    Date posted: 6/12/2008
  29. FINRA Regulatory Notice 08-29
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 6/2/2008
  30. FINRA Regulatory Notice 08-27
    The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
    Date posted: 5/28/2008
  31. CBOE Regulatory Circular RG08-64
    Supplement to the Options Disclosure Document
    Date posted: 5/19/2008
  32. MSRB Notice 2008-23
    Notice of Filing of Proposed Rule Change To Require Underwriter Registration and Testing With DTCC’s NIIDS System
    Date posted: 5/9/2008
  33. MSRB Notice 2008-22
    SEC Approves Rule Changes to Require Underwriter Participation With DTCC’s NIIDS System
    Date posted: 5/1/2008
  34. FINRA Regulatory Notice 08-21
    FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
    Date posted: 4/30/2008
  35. FINRA Regulatory Notice 08-17
    Reporting of Customer Complaints Relating to Auction Rate Securities
    Date posted: 4/8/2008
  36. FINRA Regulatory Notice 08-18
    Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
    Date posted: 4/8/2008
  37. FINRA Regulatory Notice 08-16
    Member Firm Disclosure and Supervisory Review Obligations
    Date posted: 4/7/2008
  38. NASAA Headline - 4/1/08
    State Securities Regulators Announce New Model Rule on the Use of Senior Certifications and Professional Designations - NASAA Also Voices Strong Support for the ‘Senior Protection Act of 2008’ and Applauds Sen. Herb Kohl’s Leadership in the Fight Against Senior Investment Fraud
    Date posted: 4/3/2008
  39. FINRA Regulatory Notice 08-09
    March 14, 2008 - FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts - FINRA has revised the sample portfolio margining risk disclosure and acknowledgment statements that member firms must provide to customers who have been approved for portfolio margin. This replaces the March 2007 sample risk disclosure and acknowledgment statements.1 See Attachment A for the sample disclosure and acknowledgment statements.
    Date posted: 3/14/2008
  40. MSRB Notice 2008-14
    MSRB Files with SEC to Launch Pilot Electronic Municipal Market Access System (EMMA)
    Date posted: 3/7/2008
  41. FINRA Regulatory Notice 08-08
    FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products
    Date posted: 3/6/2008
  42. NASAA Headline 2/8/08
    February 8, 2008 – NASAA Headline 2/8/08 - The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative as part of securities regulators’ efforts to protect senior investors. The goal of the initiative is to identify effective practices used by financial services firms in dealing with senior investors, and to provide information about these practices publicly.
    Date posted: 2/19/2008
  43. MSRB Notice 2008-09
    Application of MSRB Rules to Transactions in Auction Rate Securities
    Date posted: 2/19/2008
  44. MSRB Notice 2008-06
    Reminder: New Supervisory Requirements Under Rule G-27
    Date posted: 2/7/2008
  45. MSRB Notice 2008-04
    Bond Insurance Ratings – Application of MSRB Rules
    Date posted: 1/22/2008
  46. FINRA Regulatory Notice 07-59
    December 12, 2007 - FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications - In June 2007, FINRA (then NASD and NYSE Member Regulation) issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
    Date posted: 12/12/2007
  47. SEC Final Rule: Release No. 33-8869
    December 6, 2007 - Revision to Rules 144 and 145 - Rule 144 under the Securities Act of 1933 creates a safe harbor for the sale of securities under the exemption set forth in Section 4(1) of the Securities Act. We are shortening the holding period requirement under Rule 144 for “restricted securities” of issuers that are subject to the reporting requirements of the Securities Exchange Act of 1934 to six months. Restricted securities of issuers that are not subject to the Exchange Act reporting requirements will continue to be subject to a one-year holding period prior to any public resale. The amendments also substantially reduce the restrictions applicable to the resale of securities by non-affiliates.
    Date posted: 12/6/2007
  48. CBOE Regulatory Circular RG07-128
    November 21, 2007 - Continuing Education Firm Element Advisory - The Securities Industry/Regulatory Council on Continuing Education ("Council") publishes a Firm Element Advisory ("FEA"), as a guide for members or member organizations to utilize when developing their continuing education Firm Element Training for covered registered persons and their supervisors. The Council has updated the FEA for firms to use in identifying topics to include in their Firm Element Training. Topics added to the FEA since the prior publication.
    Date posted: 11/23/2007
  49. FINRA Regulatory Notice 07-56
    November 19, 2007 - Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update - This Notice advises firms of the fourth quarter 2007 Securities Industry/Regulatory Council on Continuing Education Firm Element Advisory, which identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the prior Advisory are indicated in the document as such. The updated Firm Element Advisory is available at www.cecouncil.com/publications/ council_publications/FEA_2007_Semi_Annual_Update.pdf.
    Date posted: 11/20/2007
  50. MSRB Notice 2007-29
    September 25, 2007 - MSRB Publishes Interpretive Letter Relating to Payments to Non-Political Accounts of Political Organizations Under Rule G-37 - The Municipal Securities Rulemaking Board has published an interpretive letter relating to Rule G-37, on political contributions and prohibitions on municipal securities business, with respect to payments to non-political accounts of political organizations. The text of the interpretive letter is included below. Questions regarding the interpretive letter may be directed to Ernesto A. Lanza, Senior Associate General Counsel, Jill C. Finder, Associate General Counsel, or Ronald W. Smith, Senior Legal Associate.
    Date posted: 9/26/2007
  51. NASAA Headlines - September 10, 2007
    September 10, 2007 - "Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors - WASHINGTON, D.C.-- During a Seniors Summit held today at the Securities and Exchange Commission, securities regulators released a joint report summarizing the results of their examinations of "free lunch" investment seminars.
    Date posted: 9/26/2007
  52. NASAA Headline - September 10, 2007
    September 10, 2007 - State Securities Regulators Issue Senior Investor Alert - NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings - WASHINGTON, D.C.—The North American Securities Administrators Association (NASAA) today issued a Senior Investor Alert warning that retirees and those nearing retirement can face serious traps as they manage the savings they have accumulated throughout their working years.
    Date posted: 9/26/2007
  53. NYSE Information Memo 07-75
    July 23, 2007 - Portfolio Margining Suitability - In connection with the recent amendments to NYSE Rule 431 governing Portfolio Margining, the attention of member organizations is directed to the need for care in the determination of suitability for the use of such accounts by individual investors and small institutional clients. This Information Memo will raise certain considerations which may guide this process.
    Date posted: 7/23/2007
  54. NYSE Information Memo 07-65
    July 3, 2007 - Amendments to NYSE Rules 342 and 343 - On June 29, 2007, NYSE filed, for immediate effectiveness, amendments to NYSE Rules 342 (“Offices – Approval, Supervision and Control”) and 343 (“Offices – Sole Tenancy, Hours, Display of Membership Certificates”) to eliminate the requirement that Exchange approval be obtained for the establishment of branch offices and for space-sharing arrangements within such offices. In addition, the amendments: eliminate the requirement that an NYSE “certificate of membership” be displayed in each branch office; conform Rule 342(c) to the definition of “branch office” as set forth in Rule 342.10; and delete the Interpretation of Rule 343 in its entirety (see Exhibit A and File No. SR-NYSE-2007-59).
    Date posted: 7/5/2007
  55. CBOE Regulatory Circular RG07-057
    May 22, 2007 - Continuing Education Firm Element Advisory - In the fourth quarter of each year, The Securities Industry/Regulatory Council on Continuing Education (“Council”) publishes annual Firm Element Advisory (“FEA”), as a guide for members or member organizations to utilize when developing their continuing education Firm Element Training for covered registered persons and their supervisors. The Council is now updating the FEA in the second quarter each year for firms to use in identifying topics to include in their Firm Element Training. Topics added to the FEA in the second quarter update will be flagged as such, and will also appear in the year-end FEA.
    Date posted: 5/22/2007
  56. NASD Notice to Members 07-26
    May 21, 2007 - Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update - In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in the second quarter of each year. Topics added to the FEA in the second quarter update will be flagged as such, and will also appear in the year-end FEA.
    Date posted: 5/21/2007
  57. NYSE Information Memo 07-47
    May 21, 2007 - Continuing Education Firm Element Advisory Update - In the fourth quarter of each year, the Securities Industry/ Regulatory Council on Continuing Education (the "Council") publishes the Firm Element Advisory ("FEA") to identify current regulatory and sales practices for possible inclusion, where appropriate, in Firm Element training plans. These topics are routinely taken from a review of industry regulatory and self-regulatory organizations' publications and announcements of significant events. The most recent annual FEA was issued in November 2006.
    Date posted: 5/21/2007
  58. NYSE Information Memo 07-48
    May 21, 2007 - Amendments to Rule 440a ("Telephone Solicitations") Pertaining to "Facsimile Advertisements" - On May 10, 2007, the Securities and Exchange Commission (the “Commission”) approved amendments1 to NYSE Rule 440A (“Telephone Solicitations”) to reflect legislation2 passed by Congress concerning unwanted telemarketing communications. Specifically, the legislation restored an exemption from the general prohibition against sending unsolicited faxed advertisements which applies when the sender and the recipient have an established business relationship and other conditions are met. The amendments to Rule 440A are effective immediately.
    Date posted: 5/21/2007
  59. NASD Notice to Members 07-24
    May 15, 2007 - New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG) - This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month. Attachment A outlines the revised Short Interest Reporting Schedule for September 2007 through December 2007. Additionally, the short interest reporting rules of certain ISG self-regulatory organizations (SROs) are included as Attachment B.
    Date posted: 5/15/2007
  60. CBOE Regulatory Circular RG07-51
    May 9, 2007 - Supplement to the Options Disclosure Document - On May 3, 2007, the SEC approved a supplement to the Options Disclosure Document (“ODD”) regarding several issues.
    Date posted: 5/9/2007
  61. SEC Final Rule - Release No. 34-55643
    April 19, 2007 - Technical Amendments to Form BD and Form BDW - The Securities and Exchange Commission (“Commission” or “SEC”) is making technical amendments to Form BD and Form BDW, the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively. The technical amendments will update the current list of self-regulatory organizations (“SROs”) and government jurisdictions listed on Form BD and Form BDW, and make conforming changes to the definition “jurisdiction” in the forms.
    Date posted: 4/19/2007
  62. NASD Notice to Members 07-17
    April 18, 2007 - NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act - This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited (Banco Delta Asia or bank).3 Banco Delta Asia is a commercial bank in Macau, Special Administrative Region, China. This measure is comparable to that imposed against the Latvian bank VEF Banka and its subsidaries, including Veiksmes lizings.
    Date posted: 4/18/2007
  63. NYSE Information Memo 07-34
    April 18, 2007 - NYSE And NASD Joint Release Regarding Special Measures Against Specified Banks Pursuant To Section 311 Of The USA Patriot Act - This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited (“Banco Delta Asia” or “bank”).3 Banco Delta Asia is a commercial bank in Macau, Special Administrative Region, China. This measure is comparable to that imposed against the Latvian bank VEF Banka and its subsidiaries, including Veiksmes lîzings.
    Date posted: 4/18/2007
  64. SEC Final Notice – April 18, 2007
    April 18, 2007 - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 - The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to a rule under Section 18 of the Securities Act of 1933 (“Securities Act”) to designate securities listed, or authorized for listing, on the Nasdaq Capital Market tier of The NASDAQ Stock Market LLC (“Nasdaq”) as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements. The Commission also is making a correction to the rule text to conform it to the language of Section 18 of the Securities Act.
    Date posted: 4/18/2007
  65. CBOE Regulatory Circular RG07-45
    April 12, 2007 - Supplement to the Options Disclosure Document - On April 4 2007, the Securities and Exchange Commission (“SEC”) approved a Supplement to the Options Disclosure Document (“ODD”) regarding non-rate modified cash-settled foreign currency options and rate-modified cash-settled foreign currency options. This supplement supersedes and replaces the January 2007 supplement. A current copy of the ODD as amended to include the supplement must be delivered to all new options customers.
    Date posted: 4/12/2007
  66. CBOE Regulatory Circular RG07-43
    April 5, 2007 - Margin Requirements, Strategy-Based Margin Relief for Additional Types of Complex Spreads - In order to utilize the margin requirement prescribed in the Exchange margin rules for the above-named strategies, Exchange Rule 12.3(a) provides, among other things, that the interval between exercise prices is equal. For purposes of applying this provision, the Exchange has determined that, provided the interval between the 1st & 2nd exercise prices is equal to the interval between the 3rd and 4th exercise prices, the interval between the two middle exercise prices may be any amount greater than zero. In addition, the call exercise price may not be below the put exercise price in the case of the Short Iron Condor and Short Calendar Iron Condor spreads.
    Date posted: 4/5/2007
  67. NYSE Information Memo 07-27
    March 20, 2007 - Sample Portfolio Margining Risk Disclosure And Acknowledgment Statements - This Information Memo provides sample “portfolio margining risk disclosure” and “customer acknowledgement” text that member organizations may use to satisfy the requirements of NYSE Rule 431(g). As discussed more fully below, Rule 431(g) requires that such material (or “substantially similar” material) be provided to customers prior to opening a portfolio margin account.
    Date posted: 3/20/2007
  68. NASD Notice to Members 07-14
    March 20, 2007 - Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account - As announced in Notice to Members (NTM) 07-11 (February 2007), recent amendments to NASD Rule 2520 (Margin Requirements) permit members to margin certain products according to a prescribed portfolio margin methodology on a pilot basis. Related amendments to Rule 2860 (Options) require that a disclosure statement and written acknowledgement for use with the proposed portfolio margin program be furnished to customers using a portfolio margin account.1 This Notice sets forth the language required for the written disclosure statement and acknowledgment pursuant to Rule 2860(c).
    Date posted: 3/20/2007
  69. CBOE Regulatory Circular RG07-34
    March 19, 2007 - Portfolio Margining - Disclosure Statement Required to be Furnished to Customers - The purpose of this Regulatory Circular is to prescribe a risk disclosure statement and acknowledgement form that is acceptable to the Exchange for delivery by member organizations to customers opening a portfolio margin account.
    Date posted: 3/19/2007
  70. NYSE Information Memo 07-18
    February 20, 2007 - Updated Supplement to The Options Disclosure Document - Recently, the Securities and Exchange Commission approved a Supplement (see Attachment) to the Options Disclosure Document (“ODD”). The Supplement is related to U.S. dollar-denominated foreign currency options (“USD FCOs”). These options are traded on the Philadelphia Stock Exchange (“Phlx”). The Supplement provides additional disclosure with regard to U.S. dollar settled foreign currency options. The Exchange is advising member organizations, pursuant to Rule 726.30 (“Delivery of Options Disclosure Documents and Prospectuses”), that the ODD Supplement has been amended.
    Date posted: 2/20/2007
  71. NASD Notice to Members 07-06
    February 14, 2007 - Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products - Registered representatives with an established customer base may, from time to time, change their association from one firm to another and may wish to bring with them customer assets, including mutual funds and variable products. In some cases these mutual funds or variable products may be held directly with the product issuer or they may be proprietary to the representative’s prior firm and the sponsor may not permit them to be transferred into the customer’s account at the new firm. Even nonproprietary products may not be freely transferable if the sponsor does not have a dealer or servicing agreement with the new firm.
    Date posted: 2/14/2007
  72. MSRB Notice 2007-08
    February 12, 2007 - MSRB Files Amendment to Rule Filing Relating to Advertisements of Municipal Fund Securities - The MSRB has filed with the Securities and Exchange Commission (“SEC”) an amendment to a previously filed proposed rule change consisting of (i) amendments to Rule G-21, on advertising, and Rule G-27, on supervision, and (ii) an interpretation on general advertising disclosures, blind advertisements and annual reports relating to municipal fund securities (the “proposed interpretive notice”).[1] The MSRB has filed this amendment after consultation with SEC staff.
    Date posted: 2/12/2007
  73. NASD Notice to Members 07-04
    January 24, 2007 - Codification of Interpretations to Rule 2711 - NASD has filed for immediate effectiveness a proposed rule change to codify certain interpretations under Rule 2711 (Research Analysts and Research Reports). The interpretations include many that previously were set forth in two joint interpretive memoranda. The proposed rule changes also include additional interpretations regarding the definition of research report, the distribution of third-party research through soft-dollar arrangements, and the supervisory requirements with respect to the distribution of both member research and third-party research. This Notice also contains two additional interpretations of the Rule 2711 provisions that prohibit research analysts from participating in the solicitation of investment banking business and road show presentations.
    Date posted: 1/24/2007
  74. NYSE Information Memo 07-11
    January 24, 2007 - Codification of Interpretations To Rule 472 - On September 27, 2006, the NYSE filed with the SEC for immediate effectiveness amendments to NYSE Rule 472 (“Communications With The Public” or the “Rule”). This rule filing (the “Filing”) was done in coordination with the National Association of Securities Dealers (“NASD”), which made substantially similar changes to NASD Rule 2711. The amendments to Rule 472 codify existing NYSE interpretive guidance contained in previously circulated joint NYSE/NASD memoranda and make certain non-substantive, technical changes, where necessary, to clarify the rule's intended meaning. The Filing also codifies Exchange interpretations regarding the definition of “research report,” the distribution of third-party research reports through soft dollar arrangements and the requirements regarding the supervisory review and approval of third-party research reports, which were not contained in the joint memoranda. This Information Memo contains additional NYSE interpretations with respect to research analyst participation in pitch meetings and restrictions on sales and marketing activity.
    Date posted: 1/24/2007
  75. NASD Notice to Members 06-65
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Executive Summary
    Date posted: 11/20/2006
  76. NYSE Information Memo 06-78
    Continuing Education 2006 Firm Element Advisory
    Date posted: 11/14/2006
  77. 2005 CE Council Continuing Education Firm Element Advisory

    Date posted: 10/10/2005
  78. NYSE Information Memo 04-57
    Continuing Education Firm Element Advisory
    Date posted: 12/30/2004
  79. NYSE Information Memo 2004-57
    NYSE Continuing Education Firm Element Advisory
    Date posted: 11/1/2004
  80. 2004 CE Council Continuing Education Firm Element Advisory

    Date posted: 10/22/2004
  81. NASD Notices to Member 03-57
    Continuing Education
    Date posted: 10/1/2003
  82. NYSE Information Memo 02-50
    Continuing Education - Firm Element Advisory
    Date posted: 11/8/2002
  83. NASD Notice to Members 02-70
    Continuing Education - Firm Element Advisory
    Date posted: 10/17/2002
  84. NYSE Information Memo 01-40
    Continuing Education - Firm Element Advisory
    Date posted: 11/21/2001
  85. NASD Notice to Members 01-72
    Continuing Education - Firm Element Advisory
    Date posted: 10/29/2001

The Spring 2010 Semi-Annual Firm Element Advisory is Now Available

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