Skip Navigation

SICEP

Industry News

Industry News

Recent News for 2008

Page 1 of 2 Next

  1. SEC Release No. 34-59062
    Amendment to Municipal Securities Disclosure
    Date posted: 12/10/2008
  2. FINRA Regulatory Notice 08-74
    FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
    Date posted: 12/8/2008
  3. FINRA Regulatory Notice 08-73
    SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications
    Date posted: 12/5/2008
  4. CBOE Regulatory Circular RG08-155
    Revisions to Options Communications Rules
    Date posted: 11/24/2008
  5. CBOE Regulatory Circular RG08-156
    Gratuities Policy – Rule 4.4
    Date posted: 11/24/2008
  6. FINRA Regulatory Notice 08-63
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/31/2008
  7. AMEX Reg 2008-42
    SEC Emergency Order Prohibiting Short Sales in Financial Firms Covered Securities for September 23, 2008 - REVISED - attachments show updates from prior day
    Date posted: 9/24/2008
  8. CBOE Regulatory Circular RG08-115
    SEC’s Amended Emergency Order Prohibiting Short Sales in Certain Securities
    Date posted: 9/24/2008
  9. NASAA Headline - 9/22/08
    Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
    Date posted: 9/22/2008
  10. AMEX Reg 2008-35
    New Rules Issued by SEC on Naked Short Selling
    Date posted: 9/17/2008
  11. CBOE Regulatory Circular RG08-106
    SEC Issues New Rules Regarding Short Sales
    Date posted: 9/17/2008
  12. SEC Final Rule 34-58464
    Exemption From Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers
    Date posted: 9/5/2008
  13. FINRA Regulatory Notice 08-41
    FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
    Date posted: 8/1/2008
  14. CBOE Regulatory Circular RG08-087
    Record Keeping For The Pre-Borrow Requirement Under The SEC’s Amended Emergency Order Enhancing Investor Protections Against “Naked” Short Selling
    Date posted: 7/28/2008
  15. FINRA Regulatory Notice 08-38
    FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
    Date posted: 7/28/2008
  16. MSRB Notice 2008-32
    Amendments Approved To Rules G-11, G-12 and G-8
    Date posted: 7/28/2008
  17. NASAA News Release
    NASAA: Court Decision a Major Victory for Investors
    Date posted: 7/22/2008
  18. MSRB Notice 2008-32
    Amendments Approved To Rules G-11, G-12 and G-8
    Date posted: 7/22/2008
  19. AMEX REG 2008-25
    SEC Emergency Order Imposing Restrictions on Uncovered Short Sales in Certain Securities
    Date posted: 7/15/2008
  20. FINRA Regulatory Notice 08-36
    SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to Transactions
    Date posted: 7/11/2008
  21. CBOE Regulatory Circular RG08-077
    Supplement to the Options Disclosure Document
    Date posted: 7/1/2008
  22. FINRA Regulatory Notice 08-30
    Guidance Relating to Illiquid Investments
    Date posted: 6/12/2008
  23. FINRA Regulatory Notice 08-29
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 6/2/2008
  24. FINRA Regulatory Notice 08-27
    The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
    Date posted: 5/28/2008
  25. FINRA Regulatory Notice 08-28
    SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP)
    Date posted: 5/28/2008

Page 1 of 2 Next

View