Skip Navigation

SICEP

Industry News

Industry News

Recent News

Previous Page 2 of 25 Next

  1. FINRA Regulatory Notice 09-51
    SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
    Date posted: 8/21/2009
  2. FINRA Regulatory Notice 09-49
    SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
    Date posted: 8/17/2009
  3. FINRA Regulatory Notice 09-42
    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
    Date posted: 7/31/2009
  4. FINRA Regulatory Notice 09-41
    SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
    Date posted: 7/29/2009
  5. FINRA Regulatory Notice 09-40
    SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures
    Date posted: 7/28/2009
  6. FINRA Regulatory Notice 09-28
    FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
    Date posted: 7/16/2009
  7. FINRA Regulatory Notice 09-31
    FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds.
    Date posted: 7/16/2009
  8. FINRA Regulatory Notice 09-32
    SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities; Effective Date: February 8, 2010.
    Date posted: 7/16/2009
  9. FINRA Regulatory Notice 09-35
    FINRA Recommends Review of Municipal Securities Activities.
    Date posted: 7/16/2009
  10. FINRA Regulatory Notice 09-30
    SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
    Date posted: 6/3/2009
  11. CBOE Regulatory Circular RG 09 – 060
    Continuing Education Firm Element Advisory
    Date posted: 5/26/2009
  12. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009
  13. FINRA Regulatory Notice 09-23
    SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure); Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
    Date posted: 5/15/2009
  14. MSRB Notice 2009-04
    SEC Approves Proposal to Increase Transparency of Auction Rate Securities and Variable Rate Demand Obligations
    Date posted: 3/19/2009
  15. CBOE Regulatory Circular RG09 - 24
    Amendments to CBOE Rule 4.21, Third Party Deposits Prohibited
    Date posted: 2/17/2009
  16. FINRA Regulatory Notice 09-11
    SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
    Date posted: 2/17/2009
  17. FINRA Regulatory Notice 09-10
    SEC Approves Rule Relating to Supervision of Market Letters
    Date posted: 2/5/2009
  18. FINRA Regulatory Notice 09-09
    Customer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs)
    Date posted: 2/4/2009
  19. SEC Release Nos. 33-8998
    Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies Agency
    Date posted: 1/13/2009
  20. FINRA Regulatory Notice 09-05
    FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
    Date posted: 1/5/2009
  21. SEC Release No. 34-59062
    Amendment to Municipal Securities Disclosure
    Date posted: 12/10/2008
  22. FINRA Regulatory Notice 08-74
    FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
    Date posted: 12/8/2008
  23. FINRA Regulatory Notice 08-73
    SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
    Date posted: 12/5/2008
  24. CBOE Regulatory Circular RG08-155
    Revisions to Options Communications Rules
    Date posted: 11/24/2008
  25. CBOE Regulatory Circular RG08-156
    Gratuities Policy – Rule 4.4
    Date posted: 11/24/2008

Previous Page 2 of 25 Next

View