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2012


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Contents:
12-58 SEC No-Action Guidance Expanding the Definition of "Ready Market" for Certain Foreign Equity Securities
12-57 SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members; Effective Date: January 22, 2013
12-56 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Specified Pool Transactions and SBA-Backed ABS Transactions and to Reduce the Time to Report Such Transactions; Effective Date: July 22, 2013
12-55 Guidance on FINRA's Suitability Rule
12-54 Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
12-53 FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
12-52 SEC Approves Consolidated Front Running Rule; Effective Date: June 1, 2013
12-51 FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 From November 5, 2012, to November 12, 2012; Revised Effective Date: November 12, 2012
12-50 SEC Approves Amendments Relating to Stop Orders; Effective Date: January 21, 2013
12-49 SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements; Effective Dates: April 5, 2012, and October 11, 2012
12-48 FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
12-47 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements; Effective Date: May 1, 2013
12-46 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013; Payment Deadline: December 13, 2012
12-45 Guidance to Members Affected by Hurricane Sandy
12-44 SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements); Effective Dates: October 26, 2012, and January 23, 2013
12-43 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
12-42 FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports; Comment Period Expires: December 20, 2012
12-41 FINRA Amends the TAF Rate for Transactions in Covered Security Futures; Effective Date: October 1, 2012
12-40 SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities; Effective Date: December 3, 2012
12-39 FINRA Requests Comment on TRACE Dissemination Issues; Comment Period Expires: November 19, 2012
12-38 SEC Approves Amendments to FINRA's Short-Interest Reporting Rule; Effective Date: November 30, 2012
12-37 SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis; Effective Date: November 5, 2012
12-36 FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions; Effective Dates: November 30, 2012, and May 1, 2013
12-35 Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA's Mediator Roster; Effective Date: August 6, 2012
12-34 FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities; Comment Period Expires: August 31, 2012
12-33 FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements; Implementation Date: July 23, 2012
12-32 Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
12-31 SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities; Effective Date: July 1, 2012
12-30 SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration from $25,000 to $50,000; Effective Date: July 23, 2012
12-29 SEC Approves New Rules Governing Communications With the Public; Effective Date: February 4, 2013
12-28 SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code; Effective Date: July 9, 2012
12-27 FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings; Comment Period Expires: July 23, 2012
12-26 SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees; Effective Date: November 5, 2012
12-25 Additional Guidance on FINRA's New Suitability Rule; Implementation Date: July 9, 2012
12-24 FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
12-23 FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items; Comment Period Expires: June 4, 2012
12-22 New Electronic Filing System for Public Offering Filings
12-21 SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes; Effective Date: May 21, 2012
12-20 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
12-19 FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M; Effective Date: June 4, 2012
12-18 FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration; Comment Period Expires: May 21, 2012
12-17 SEC Approves Consolidated Telemarketing Rule; Effective Date: June 29, 2012
12-16 Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States; Effective Date: April 2, 2012
12-15 SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board; Effective Date: February 23, 2012
12-14 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts; Comment Period Expires: April 11, 2012
12-13 SEC Approves Consolidated FINRA Best Execution Rule; Effective Date: May 31, 2012
12-12 SEC Approves Amendments to FINRA's Code of Procedure; Effective Date: March 30, 2012
12-11 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
12-10 FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information; Comment Period Expires: April 27, 2012
12-09 FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports; Comment Period Expires: April 2, 2012
12-08 SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA; Effective Date: January 26, 2012
12-07 FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity; Comment Period Expires March 26, 2012
12-06 SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities; Effective Date: March 1, 2012
12-05 Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
12-04 SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction); Effective Date: February 21, 2012
12-03 Heightened Supervision of Complex Products
12-02 FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
12-01 Final 2012 Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: February 3, 2012