1. MSRB Notice 2013-18 MSRB Market Transparency Advisory

    Suggested practices insubmitting of Financial Disclosures to EMMA

    8/14/2013

  2. NYSE Regulation Information Memo 13-14

    DELETION OF NYSE RULE 476(a)(8) (WASH SALES)

    8/14/2013

  3. NYSE Regulation Information Memo 13-15

    DELETION OF RULES 95(C) AND (D) AND RELATED SUPPLEMENTARY MATERIAL

    8/14/2013

  4. NYSE Regulation Information Memo 13-16

    AMENDMENT OF DMM QUOTING REQUIREMENT FOR NASDAQ UTP STOCKS

    8/14/2013

  5. FINRA Regulatory Notice 13-15

    SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges. The effective date is July 22, 2013.

    4/17/2013

  6. FINRA Regulatory Notice 13-14

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

    4/12/2013

  7. FINRA Regulatory Notice 13-13

    SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities Effective Date: May 9, 2013

    4/10/2013

  8. FINRA Regulatory Notice 13-12

    FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility

    3/11/2013

  9. FINRA Regulatory Notice 13-07

    FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees Comment Period Expires: April 1, 2013

    2/6/2013

  10. FINRA Regulatory Notice 13-06

    SEC Approves Amendments to Rule 8210 Effective Date: February 25, 2013

    1/28/2013

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