1. FINRA Regulatory Notice 14-35 Customer Account Statements

    FINRA requests comment on a revised proposal to adopt Consolidated FINRA Rule 2231 (Customer Account Statements).


  2. CBOE Regulatory Circular RG 14-043

    Extended trading hours frequently asked questions circular no. 1.


  3. FINRA Reg Notice 14-05 Consolidated Financial and Operational Rules

    SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)


  4. FINRA Regulatory Notice 14-08 FINRA BrokerCheck

    SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes.


  5. FINRA Regulatory Notice 14-11 Branch Office Registration

    SEC approves amendments to uniform branch office registration form (Form BR).


  6. FINRA Regulatory Notice 14-12 SEC Financial Responsibility Rules

    FINRA announces updates of the interpretations of financial and operational rules.


  7. FINRA Regulatory Notice 14-13 Regulatory Extension System Update

    Extension of time requests relating to new SEA Rule 15c3-3(d)(4).


  8. CBOE Regulatory Circular RG14-005

    Chicago Board Options Exchange, Incorporated (CBOE or Exchange) recently amended CBOE Rule 6.2B (Hybrid Opening System (HOSS)) to establish modified HOSS opening procedures for all option series that are used to calculate the exercise / final settlement value for expiring volatility index options and futures contracts (including volatility index security futures).


  9. MSRB Request for Comment on Draft Rule G-42, on Duties of Non-Solicitor Municipal Advisors

    The Municipal Securities Rulemaking Board (“MSRB”) is seeking comment on draft Rule G-42 on standards of conduct and duties of municipal advisors when engaging in municipal advisory activities other than the undertaking of solicitations. The MSRB is also seeking comment on associated draft amendments to Rules G-8, on books and records, and G-9, on the preservation of records.


<< Previous Page  2  of  2