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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
FINRA Regulatory Notice 13-14
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Date posted: 4/12/2013
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
FINRA Regulatory Notice 13-12
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Date posted: 3/11/2013
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
FINRA Regulatory Notice 13-06
SEC Approves Amendments to Rule 8210 Effective Date: February 25, 2013
Date posted: 1/28/2013
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
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
FINRA Regulatory Notice 13-03
FINRA Provides Guidance on New Rules Governing Communications With the Public
Date posted: 1/10/2013
CBOE RG13-008
Customized Option Pricing Service (COPS)
Date posted: 1/10/2013
FINRA Regulatory Notice 12-50
SEC Approves Amendments Relating to Stop Orders Effective Date: January 21, 2013
Date posted: 1/3/2013
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
FINRA Regulatory Notice 12-56
Trace Reporting and Compliance Engine (TRACE)
Date posted: 1/3/2013
FINRA Regulatory Notice 12-43
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Date posted: 10/19/2012
FINRA Information Notice 10/19/2012
Continuing Education Planning
Date posted: 10/19/2012
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
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
FINRA Election Notice - Small Firm Advisory 9/5/12
Nomination Deadline: October 5, 2012
Date posted: 9/5/2012
FINRA Information Notice 8-28-12
Guidance for Firms Potentially Affected by Hurricane Isaac
Date posted: 8/29/2012
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
FINRA Information Notice 8-17-12
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Date posted: 8/22/2012
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
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
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
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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Firm Element Advisory Podcast - Part 1
Firm Element Advisory Podcast - Part 2
2013 Exam Priorities Letter
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