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2008


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Contents:
08-83 FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions; Comment Period Expires: February 6, 2009
08-82 FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
08-81 FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
08-80 FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution; Comment Period Expires: January 29, 2009
08-79 SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests; Effective Date: January 26, 2009
08-78 FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures; Effective Date: February 17, 2009
08-77 Customer Account Statements: FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
08-76 Technology Changes for Reporting Clearing Methods and Arrangements; Effective Date: December 15, 2008
08-75 Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
08-74 FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M; Effective Date: December 15, 2008
08-73 SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications Effective Date: March 4, 2009
08-72 FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
08-71 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: December 29, 2008
08-70 FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
08-69 Alert to Member Firms About the Federal Trade Commission's FACT Act Regulations and the Announcement of the FTC's Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
08-68 FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors; Comment Period Expires: December 18, 2008
08-67 FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests Effective Date: January 16, 2009
08-66 FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
08-65 FINRA Grants Additional,Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, & Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
08-64 Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication Effective Date: November 11, 2008
08-63 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
08-62 SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
08-61 Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws; Proposed Implementation Date: January 2, 2009
08-60 FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds Effective Date: October 21, 2008
08-59 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009 Payment Deadline: December 12, 2008
08-58 Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
08-57 FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Effective Date: December 15, 2008
08-56 FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
08-55 FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules Comment Period Expired: November 14, 2008
08-54 Guidance on Special Purpose Acquisition Companies
08-53 FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests Effective Date: April 1, 2009
08-52 SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
08-51 SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities Effective Date: October 27, 2008
08-50 Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
08-49 FINRA Announces Effective Date for Expansion of NASD IM-2110-2 to OTC Equity Securities and Revised Minimum Price-Improvement Standards in IM-2110-2 Effective Date: November 11, 2008
08-48 Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
08-47 Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d); Effective Date: October 1, 2008
08-46 Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
08-45 FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts; Effective Date: September 22, 2008
08-44 SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes; Effective Date: September 22, 2008
08-43 SEC Approves Expanding Disseminated Real-Time TRACE Data; Effective Date: November 3, 2008
08-42 Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144
08-41 FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program; Effective Date: August 1, 2008
08-40 Technology Changes for Reporting Certain Complaint and Disclosure Information; Effective Date: October 20, 2008
08-39 FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expires: September 30, 2008
08-38 FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
08-37 FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
08-36 SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions Effective Date: June 13, 2008
08-35 SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs); Effective Date: August 6, 2008
08-34 SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems Effective Date: August 1, 2008
08-33 SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures Effective Date: June 6, 2008
08-32 FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests; Effective Date: November 17, 2008
08-31 SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders Effective Date: May 6, 2008
08-30 Guidance Relating to Illiquid Investments
08-29 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
08-28 SEC Approves Amendments to Eliminate the Requirement for the Senior Registered and Compliance Registered Options Principals (SROP and CROP); Effective Date: June 23, 2008
08-27 The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
08-26 Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
08-25 Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
08-24 Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
08-23 Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
08-22 SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
08-21 FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities; Comment Period Expired: May 27, 2008
08-20 FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expires: May 27, 2008
08-19 SEC Approves Rule Change to Amend FINRA's Gross Income Assessment; Effective Date: January 1, 2008
08-18 Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
08-17 Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
08-16 Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
08-15 Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
08-14 FINRA Implements New Electronic Form NMA Filing Requirement; Effective Date: February 29, 2008
08-13 FINRA Consolidates the Collection of Short Interest Data; Effective Date Extended
08-12 SEC Approves Amendment to NASD Rule 2210 to Create an Exception to the Principal Approval Requirements for Certain Filed Sales Material; Effective Date: March 26, 2008
08-11 Q&A on Electronic Filing Requirements of NASD Rule 3170
08-10 FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options; Effective Date: February 28, 2008
08-09 FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts; Effective Date: March 14, 2008
08-08 FINRA Temporarily Increases Margin Maintenance Requirements on Auction Rate Securities Backed by Fixed Income Products; Effective Date: March 6, 2008
08-07 FINRA and NYSE Filed Rule Changes with the SEC to Amend FINRA's Gross Income Assessment and Eliminate Certain NYSE Fees; Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2008
08-06 SEC Approves Amendments to NASD Rule 11810(i) to Mandate the Use of the Automated Liability Notification System of a Registered Clearing Agency; Effective Date: March 13, 2008
08-05 [Rescinded]
08-04 FINRA Adopts Rule Amendments that Expand the Delta Hedging Exemptions for Options Positions Limits; Effective Date: February 1, 2008
08-03 SEC Approves Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (Form U4), the Uniform Termination Notice for Securities Industry Registration (Form U5) and the Uniform Branch Office Registration Form (Form BR)
08-02 Acceptability of Series 24 Examination under NYSE Rule 342.13
08-01 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008; Payment Deadline: February 4, 2008