1. Cboe RG18-005 Annual Supervision-Related Reporting Pursuant to Cboe/C2 Options Rules 4.24 and 9.8

    TPHs are reminded that paragraph (g) of Cboe Options and C2 Options Rule 4.24, Supervision, requires that each TPH submit to the Exchanges a written report by April 1st of each year on the TPH’s supervision and compliance effort during the preceding year and on the adequacy of the TPH’s ongoing compliance processes and procedures. Please note, because April 1, 2018 falls on a Sunday, the Rule 4.24 report for calendar year 2017 will be due April 2nd.

    2/14/2018

  2. Cboe RG18-004 Anti-Money Laundering Compliance Program - Customer Due Diligence Requirements and Filing Requirements for Certain Trading Permit Holders

    Please note, the Financial Crimes Enforcement Network (FinCEN) adopted a final rule on Customer Due Diligence Requirements for Financial Institutions (CDD Rule), which became effective July 11, 2016. Trading Permit Holders (“TPHs”) to whom the rule applies must be in compliance with the provisions of the CDD Rule by May 11, 2018.

    2/14/2018

  3. SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/12/2018

  4. SR-FINRA-2018-008 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the General Securities Representative (Series 7) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/12/2018

  5. SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the Direct Participation Programs Representative (Series 22) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by a Direct Participation Programs Representative. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/12/2018

  6. SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination

    FINRA”) is filing with the SEC revisions to the content outline and selection specifications for the Securities Trader (Series 57) examination as part of the restructuring of the representative-level examination program. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/12/2018

  7. SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination

    FINRA”) is filing with the SEC revisions to the content outline and selection specifications for the Private Securities Offerings Representative (Series 82) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by a Private Securities Offerings Representative. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/12/2018

  8. SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by an Investment Banking Representative. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/9/2018

  9. SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the Research Analyst (Series 86 and 87) examinations as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examinations and to incorporate the functions and associated tasks currently performed by a Research Analyst. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/9/2018

  10. SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination

    FINRA is filing with the SEC revisions to the content outline and selection specifications for the Operations Professional (Series 99) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by an Operations Professional. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

    2/9/2018

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