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Recent News for 2009

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1. FINRA Regulatory Notice 09-73
   FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
   Date posted: 12/17/2009
2. FINRA Regulatory Notice 09-67
   Regulatory Element Continuing Education Fees to Increase
   Date posted: 11/27/2009
3. SEC Release No. 34-61050
   Amendments to Rules for Nationally Recognized Statistical Rating Organizations
   Date posted: 11/23/2009
4. FINRA Regulatory Notice 09-64
   Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
   Date posted: 11/13/2009
5. NASAA Headline - The Most Dangerous Piece of Mail You’ll Get All Year is For a Free Lunch
   New AARP Survey Shows High Level of Concern About Impact of Financial Scams Among 55+ Population
   Date posted: 11/12/2009
6. FINRA Information Notice 11/9/09
   Changes to the S101 and S106 Regulatory Element Continuing Education Programs
   Date posted: 11/9/2009
7. CBOE Regulatory Circular RG09-122
   Supervision of Electronic Communications and Electronic Storage of Records
   Date posted: 10/28/2009
8. FINRA Regulatory Notice 09-60
   SEC Approval and Effective Dates for New Consolidated FINRA Rules
   Date posted: 10/23/2009
9. FINRA Regulatory Notice 09-61
   Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
   Date posted: 10/23/2009
10. NASAA Outlines Best Practices For Investment Advisers
    Coordinated IA Examinations Spotlight Deficiencies in Key Areas
    Date posted: 9/29/2009
11. MSRB Notice 2009-50
    Notice Concerning Use of Electronic Confirmations Produced By a Clearing Agency or Qualified Vendor to Satisfy the Requirements of Rule G-15(a)
    Date posted: 9/16/2009
12. CBOE Regulatory Circular RG09-100
    Prearranged Trades
    Date posted: 9/10/2009
13. FINRA Regulatory Notice 09-53
    Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
    Date posted: 8/31/2009
14. 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
15. 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
16. FINRA Regulatory Notice 09-42
    FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
    Date posted: 7/31/2009
17. 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
18. 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
19. 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
20. 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
21. 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
22. FINRA Regulatory Notice 09-35
    FINRA Recommends Review of Municipal Securities Activities.
    Date posted: 7/16/2009
23. 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
24. CBOE Regulatory Circular RG 09 – 060
    Continuing Education Firm Element Advisory
    Date posted: 5/26/2009
25. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009

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