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2013


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Contents:
13-45 FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
13-44 FINRA Announces Updates of the Interpretations of Financial and Operational Rules
13-43 SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds; Effective Date: February 3, 2014
13-42 FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System; Comment Period Expires: March 21, 2014
13-41 eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants; Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period
13-40 SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations; Effective Date: December 2, 2013
13-39 SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC; Effective Date: November 7, 2013
13-38 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements; Effective Date: May 1, 2014
13-37 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014; Payment Deadline: December 13, 2013
13-36 FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program; Implementation Date: December 16, 2013
13-35 SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees; Effective Date: June 30, 2014
13-34 FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms; Comment Period Expires: February 3, 2014
13-33 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
13-32 SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA's Minor Rule Violation Plan; Effective Date: September 26, 2013
13-31 FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
13-30 SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators; Effective Date: September 30, 2013
13-29 FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings; Comment Period Expires: November 4, 2013
13-28 FINRA Revises the Series 16 Examination Program; Implementation Date: October 28, 2013
13-27 SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information); Effective Date: December 16, 2013
13-26 FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
13-25 FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
13-24 FINRA Announces Modifications Regarding Historic TRACE Data; Effective Date: July 22, 2013
13-23 FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
13-22 FINRA Revises the Series 55 Examination Program; Implementation Date: August 12, 2013
13-21 SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator; Effective Date: July 1, 2013
13-20 FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation; Effective Date: June 27, 2013
13-19 SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution; Effective Date: November 4, 2013
13-18 FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
13-17 2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
13-16 FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements; Effective Date: November 1, 2013
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; Effective Date: July 22, 2013
13-14 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
13-13 SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities; Effective Date: May 9, 2013
13-12 FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility; Effective Date: April 8, 2013
13-11 FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing; Effective Date: Immediately
13-10 SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items*
13-09 SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees; Effective Date: June 10, 2013
13-08 FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form; Implementation Dates: March 4, 2013, and July 1, 2013
13-07 FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees; Comment Period Expires: April 1, 2013
13-06 SEC Approves Amendments to Rule 8210
13-05 FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
13-04 SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas; Effective Date: February 18, 2013
13-03 FINRA Provides Guidance on New Rules Governing Communications With the Public
13-02 FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices; Comment Period Expires: March 5, 2013
13-01 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: February 1, 2013