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  1. 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.
    Date posted: 4/17/2013
  2. FINRA Regulatory Notice 13-14
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 4/12/2013
  3. 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
    Date posted: 4/10/2013
  4. FINRA Regulatory Notice 13-12
    FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
    Date posted: 3/11/2013
  5. FINRA Regulatory Notice 13-07
    FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees Comment Period Expires: April 1, 2013
    Date posted: 2/6/2013
  6. FINRA Regulatory Notice 13-06
    SEC Approves Amendments to Rule 8210 Effective Date: February 25, 2013
    Date posted: 1/28/2013
  7. FINRA Regulatory Notice 13-04 -Subpoenas and Orders to Appear or Produce Documents
    SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas Effective Date: February 18, 2013
    Date posted: 1/22/2013
  8. FINRA Regulatory Notice 13-02
    FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices. Comment Period Expires: March 5, 2013
    Date posted: 1/10/2013
  9. FINRA Regulatory Notice 13-03
    FINRA Provides Guidance on New Rules Governing Communications With the Public
    Date posted: 1/10/2013
  10. CBOE RG13-008
    Customized Option Pricing Service (COPS)
    Date posted: 1/10/2013
  11. FINRA Regulatory Notice 12-50
    SEC Approves Amendments Relating to Stop Orders Effective Date: January 21, 2013
    Date posted: 1/3/2013
  12. FINRA Regulatory Notice 12-58
    SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
    Date posted: 1/3/2013
  13. FINRA Regulatory Notice 12-56
    Trace Reporting and Compliance Engine (TRACE)
    Date posted: 1/3/2013
  14. FINRA Regulatory Notice 12-43
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/19/2012
  15. FINRA Information Notice 10/19/2012
    Continuing Education Planning
    Date posted: 10/19/2012
  16. FINRA Regulatory Notice 12-39 - Trade Reporting and Compliance Engine
    FINRA Requests Comment on TRACE Dissemination Issues Comment Period Expires: October 10, 2012.
    Date posted: 9/27/2012
  17. Regulatory Notice 12-40
    SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities. Effective Date: December 3, 2012
    Date posted: 9/12/2012
  18. FINRA Election Notice - Small Firm Advisory 9/5/12
    Nomination Deadline: October 5, 2012
    Date posted: 9/5/2012
  19. FINRA Information Notice 8-28-12
    Guidance for Firms Potentially Affected by Hurricane Isaac
    Date posted: 8/29/2012
  20. FINRA Regulatory Notice 12-38 - Short-Interest Reporting
    SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule Effective Date: November 30, 2012
    Date posted: 8/27/2012
  21. FINRA Information Notice 8-17-12
    Late Disclosure Fee Related to Reporting of Judgment/Lien Events
    Date posted: 8/22/2012
  22. FINRA Regulatory Notice 12-37 - OTC Equity Quotation Size
    SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis. Effective Date: November 5, 2012
    Date posted: 8/6/2012
  23. FINRA Information Notice 8/1/12
    New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session Effective Date: September 1, 2012
    Date posted: 8/2/2012
  24. FINRA Regulatory Notice 12-35
    Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster. Effective Date: August 6, 2012
    Date posted: 7/11/2012
  25. FINRA Regulatory Notice 12-33 - Membership Application Changes
    FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements Implementation Date: July 23, 2012
    Date posted: 7/6/2012

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