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Industry News

Recent News for Product Knowledge

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  1. 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
  2. FINRA Regulatory Notice 13-14
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 4/12/2013
  3. CBOE RG13-008
    Customized Option Pricing Service (COPS)
    Date posted: 1/10/2013
  4. FINRA Regulatory Notice 12-50
    SEC Approves Amendments Relating to Stop Orders Effective Date: January 21, 2013
    Date posted: 1/3/2013
  5. FINRA Regulatory Notice 12-43
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
    Date posted: 10/19/2012
  6. FINRA Information Notice 10/19/2012
    Continuing Education Planning
    Date posted: 10/19/2012
  7. FINRA Information Notice 8-17-12
    Late Disclosure Fee Related to Reporting of Judgment/Lien Events
    Date posted: 8/22/2012
  8. FINRA Regulatory Notice 12-34 - Jumpstart Our Business Start Up Act
    FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities Comment Period Expires: August 31, 2012
    Date posted: 7/6/2012
  9. FINRA Reulatory Notice 12-25 - Suitability
    Additional Guidance on FINRA’s New Suitability Rule Implementation Date: July 9, 2012
    Date posted: 5/22/2012
  10. NASAA Crowd-funding Advisory
    The Internet has become an inexpensive and easy way for individuals and businesses to raise money for their activities.
    Date posted: 5/22/2012
  11. MSRB Notice 2012-26 - Education and Outreach Seminar
    MSRB AND CDIAC ANNOUNCE EDUCATION AND OUTREACH SEMINAR IN SAN FRANCISCO
    Date posted: 5/22/2012
  12. CBOE Holdings - 5/17/2012 CFE to Launch Futures on CBOE NASDAQ-100 Volatility Index (VXN)
    Allows Investors to Trade Volatility in Premier Technology - Weighted Index
    Date posted: 5/22/2012
  13. FINRA Regulatory Notice 12-19 - Regulation M
    FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
    Date posted: 4/18/2012
  14. FINRA Regulatory Notice 12-16
    Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
    Date posted: 3/29/2012
  15. FINRA Information 03/08/12
    New Rate for Fees Paid Under Section 31 of the Exchange Act
    Date posted: 3/20/2012
  16. FINRA Regulatory Notice 12-07
    Trade Reporting FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
    Date posted: 3/20/2012
  17. FINRA Regulatory Notice 12-10
    FINRA BrokerCheck® FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
    Date posted: 3/20/2012
  18. FINRA Regulatory Notice 12-11
    Supplemental FOCUS Information SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
    Date posted: 3/20/2012
  19. FINRA Regulatory Notice 12-12
    Code of Procedure SEC Approves Amendments to FINRA’s Code of Procedure
    Date posted: 3/20/2012
  20. FINRA Regulatory Notice 12-13
    Best Execution SEC Approves Consolidated FINRA Best Execution Rule
    Date posted: 3/20/2012
  21. MSRB NOTICE 2012-05 (February 21, 2012)
    MSRB AND BDA TO CO-HOST MUNICIPAL SECURITIES REGULATION SEMINAR IN ST. LOUIS
    Date posted: 3/20/2012
  22. FINRA Regulatory Notice 12-08
    Anti-Money Laundering Program SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
    Date posted: 3/20/2012
  23. FINRA Regulatory Notice 12-14
    Customer Account Statements FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
    Date posted: 3/20/2012
  24. FINRA Information 02/03/12
    New Rate for Fees Paid Under Section 31 of the Exchange Act
    Date posted: 3/16/2012
  25. FINRA Information 03/01/12
    Revised Fee for Fingerprint Processing
    Date posted: 3/16/2012

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