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Industry News

Recent News for the Firm Element

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  1. CBOE Regulatory Circular 10-18
    Information Barriers of DPMs and eDPMs
    Date posted: 1/29/2010
  2. CBOE Regulatory Circular 10-18
    Information Barriers of DPMs and eDPMs
    Date posted: 1/29/2010
  3. SEC Release No. 34-60388
    Amendments to Regulation SHO
    Date posted: 7/28/2009
  4. 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
  5. FINRA Information Notice - May 20, 2009
    Continuing Education Planning
    Date posted: 5/20/2009
  6. FINRA Regulatory Notice 09-26
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 5/19/2009
  7. FINRA Regulatory Notice 08-74
    FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
    Date posted: 12/8/2008
  8. NYSE Information Memo 07-18
    February 20, 2007 - Updated Supplement to The Options Disclosure Document - Recently, the Securities and Exchange Commission approved a Supplement (see Attachment) to the Options Disclosure Document (“ODD”). The Supplement is related to U.S. dollar-denominated foreign currency options (“USD FCOs”). These options are traded on the Philadelphia Stock Exchange (“Phlx”). The Supplement provides additional disclosure with regard to U.S. dollar settled foreign currency options. The Exchange is advising member organizations, pursuant to Rule 726.30 (“Delivery of Options Disclosure Documents and Prospectuses”), that the ODD Supplement has been amended.
    Date posted: 2/20/2007
  9. NYSE Information Memo 06-78
    Continuing Education 2006 Firm Element Advisory
    Date posted: 11/14/2006
  10. NYSE Information Memo 04-57
    Continuing Education Firm Element Advisory
    Date posted: 12/30/2004
  11. NYSE Information Memo 2004-57
    NYSE Continuing Education Firm Element Advisory
    Date posted: 11/1/2004
  12. NYSE Information Memo 02-50
    Continuing Education - Firm Element Advisory
    Date posted: 11/8/2002
  13. NYSE Information Memo 01-40
    Continuing Education - Firm Element Advisory
    Date posted: 11/21/2001

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