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2010


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Contents:
10-62 SEC Approval and Effective Date for New Consolidated FINRA Rule; Effective Date: June 17, 2011
10-61 SEC Approves New FINRA Rule 4160 Relating to the Verification of Assets at a Non-Member Financial Institution; Effective Date: February 1, 2011
10-60 SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues; Effective Date: May 27, 2011
10-59 SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device; Effective Date: December 29, 2010
10-58 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011; Payment Deadline: December 13, 2010
10-57 Funding and Liquidity Risk Management Practices
10-56 SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions; Effective Date: November 1, 2010
10-55 FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes; Effective Date: May 16, 2011
10-54 FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship; Comment Period Expires: December 27, 2010
10-53 Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs; Effective Date: October 26, 2010
10-52 Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
10-51 Sales Practice Obligations for Commodity Futures-Linked Securities
10-50 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10-49 SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2010
10-48 Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports; Effective Date: November 10, 2010
10-47 SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering; Effective Date: February 8, 2011
10-46 Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants; Effective Date: FOCUS Report Due on November 23, 2010, Covering the October 2010 Reporting Period
10-45 SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests; Effective Date: December 2, 2010
10-44 New Alert-Reporting Criterion for Leverage in FOCUS Reports
10-43 Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
10-42 SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
10-41 FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
10-40 Non-Party Witness' Attorney May Attend Hearing While Witness Is Testifying; Effective Date: October 14, 2010
10-39 Obligation to Provide Timely, Complete and Accurate Information on Form U5
10-38 SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities; Effective Date: September 27, 2010
10-37 Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels; Effective Date: September 27, 2010
10-36 Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time; Effective Date: September 7, 2010
10-35 SEC Approval and Effective Date for New Consolidated FINRA Rule; Effective Date: October 15, 2010
10-34 SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
10-33 FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA; Comment Period Expires: August 18, 2010
10-32 SEC Approves Amendments to FINRA Dispute Resolution By-Laws; Effective Date: August 2, 2010
10-31 Change to Expedited Proceedings for Failure to Comply with an Arbitration Award or Related Settlement; Effective Date: July 2, 2010
10-30 SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility; Effective Date: June 10, 2010
10-29 SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility; Effective Date: November 1, 2010
10-28 New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests; Effective Dates: August 23, 2010 (Phase I); November 8, 2010 (Phase II)
10-26 SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security; Effective Date: June 28, 2010
10-27 Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d); Effective Date: July 1, 2010
10-25 FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals; Comment Period Expires: July 12, 2010
10-24 SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution; Effective Date: November 1, 2010
10-23 SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees; Effective Date: February 14, 2011
10-22 Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
10-21 SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules; Effective Date: June 14, 2010
10-20 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
10-19 FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
10-18 FINRA Issues Guidance on Master and Sub-Account Arrangements
10-17 Amendments to the Arbitration Rules on Hearing Locations; Effective Date: May 3, 2010
10-16 Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules; Effective Date: May 3, 2010
10-15 FINRA Requirements for Subordinations; Availability of New Standard Forms
10-14 SEC Approves Access to Historic TRACE Data and Related Fees Effective Date: March 31, 2010
10-13 SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings; Effective Date: March 25, 2010
10-12 Guidance on FAS 167 for FOCUS Reporting
10-11 Amendments to the Arbitration Rules Regarding Deficient Claims; Effective Date: March 22, 2010
10-10 SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: April 19, 2010
10-09 FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
10-08 Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form; Effective Date of Rule Requirements: February 8, 2010; Availability of New Form: March 1, 2010
10-07 SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities; Effective Date: April 12, 2010
10-06 Guidance on Blogs and Social Networking Web Sites
10-05 FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
10-04 SEC Approves Consolidated FINRA Rules Governing Clearly Erroneous Transactions; Effective Date: February 15, 2010
10-03 FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities; Comment Period Expires: March 8, 2010
10-02 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
10-01 Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings; Comment Period Expires: March 5, 2010