1. NYSE Information Memo 06-80

    Permitting DVP/RVP Customers to Opt Out of Receiving Statements

    12/1/2006

  2. MSRB Notice 2006-33

    Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

    11/27/2006

  3. NASD Notice to Members 06-64

    SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators

    11/20/2006

  4. NASD Notice to Members 06-65

    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Executive Summary

    11/20/2006

  5. MSRB Notice 2006-31

    RTRS Educational Conference Calls

    11/15/2006

  6. NASD Notice to Members 06-63

    Amendments to Registration Rules Extending the Date by which Eligible Registrants must Complete Continuing Education Program before Engaging in Security Futures Activities; Effective Date: November 15, 2006

    11/14/2006

  7. NYSE Information Memo 06-78

    Continuing Education 2006 Firm Element Advisory

    11/14/2006

  8. NASD Notice to Members 06-61

    SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents; Effective Date: December 6, 2006 -- NASD Advises Firms That Certain Notices Required under the Securities Exchange Act of 1934 Must Be Filed Electronically Starting on January 1, 2007

    11/7/2006

  9. SEC Final Notice - Amendments To The Tender Offer Best-Price Rules Agency

    Amendments To The Tender Offer Best-Price Rules Agency

    11/6/2006

  10. AMEX Notice – REG 2006-56

    REG 2006-56: Elimination of Post-Trade Allocation Rule in ANTE

    10/31/2006

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