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2009


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Contents:
09-74 SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees; Effective Date: January 18, 2010
09-73 FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
09-72 SEC Approval and Effective Dates for New Consolidated FINRA Rules; Effective Date (all rules except FINRA Rule 2330): February 15, 2010; Effective Date (FINRA Rule 2330): February 8, 2010
09-71 SEC Approves Consolidated FINRA Rules Governing Financial Responsibility; Effective Date: February 8, 2010
09-70 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements; Comment Period Expires: February 1, 2010
09-69 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons; Comment Period Expires: February 1, 2010
09-68 SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees; Effective Date: January 1, 2010
09-67 Regulatory Element Continuing Education Fees to Increase; Effective Date: January 4, 2010
09-66 SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers; Effective Date: November 30, 2009
09-65 FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs and Day-Trading Requirements for Leveraged ETFs; New Effective Date: April 30, 2010
09-64 Verification of Instructions to Transmit or Withdraw Assets from Customer Accounts
09-63 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions; Comment Period Expires: December 28, 2009
09-62 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010; Payment Deadline: December 11, 2009
09-61 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
09-60 SEC Approval and Effective Dates for New Consolidated FINRA Rules; Effective Date (all rules except FINRA Rule 3310): December 14, 2009 Effective Date (FINRA Rule 3310): January 1, 2010
09-59 FINRA Provides Guidance on Pandemic Preparedness
09-58 SEC Approves Amendments Regarding Best Execution and Interpositioning; Effective Date: September 8, 2009
09-57 SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions; Effective Date: March 1, 2010
09-56 Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees; Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2010
09-55 FINRA Requests Comments on Proposed New Rules Governing Communications with the Public; Comment Period Expires: November 20, 2009
09-54 SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA; Effective Date: March 1, 2010
09-53 Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options; Effective Date: December 1, 2009
09-52 SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours; Effective Date: January 11, 2010
09-51 SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11; Effective Date: September 21, 2009
09-50 SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date (FINRA Rule 2320): October 19, 2009; Effective Date (Repeal of Incorporated NYSE Rules 134 and 440I): August 17, 2009
09-49 SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates; Effective Date: September 14, 2009
09-48 SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases; Effective Date: September 14, 2009
09-47 New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
09-46 FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
09-45 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering; Comment Period Expires: September 18, 2009
09-44 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds; Comment Period Expires: September 14, 2009
09-43 SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes; Effective Date: August 31, 2009
09-42 FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
09-41 SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam; Effective Date: November 2, 2009
09-40 SEC Approval and Effective Dates for New Consolidated FINRA Rules on Electronic Filing Requirements for Uniform Forms and Arbitration Disclosures; Effective Date (FINRA Rule 1010): July 27, 2009; Effective Date (FINRA Rule 2263): September 25, 2009
09-39 SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws; Effective Date: August 20, 2009
09-38 Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
09-37 Trading in Motors Liquidation Company (Formerly Known as General Motors Corporation)
09-36 SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes; Effective Date: August 10, 2009
09-35 FINRA Recommends Review of Municipal Securities Activities
09-34 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities; Comment Period Expires: August 3, 2009
09-33 SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: August 17, 2009
09-32 SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities; Effective Date: February 8, 2010
09-31 FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
09-30 SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps; Effective Date: June 3, 2009
09-29 FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors; Comment Period Expires: July 16, 2009
09-28 FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
09-27 SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity; Effective Date: June 17, 2009
09-26 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
09-25 Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations; Comment Period Expires: June 29, 2009
09-24 SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"; Effective Date: June 15, 2009
09-23 SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure); Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
09-22 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons; Comment Period Expires: June 5, 2009
09-20 SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination; Effective Date: June 15, 2009
09-21 FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions; Effective Date: May 4, 2009
09-19 Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications; Effective Date: June 15, 2009
09-18 EBS Submissions Following Implementation of the Option Symbology Initiative
09-17 FINRA Provides Guidance on its Enforcement Process
09-16 SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request; Effective Date: April 13, 2009
09-15 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection; Comment Period Expired: April 24, 2009
09-14 SEC Approves Alternative Means for Calculating the Minimum Price-Improvement Obligations Under Certain Circumstances; Effective Date: February 11, 2009
09-13 SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000; Effective Date: March 30, 2009
09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
09-11 SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports; Effective Date: April 20, 2009
09-10 SEC Approves Rule Relating to Supervision of Market Letters; Effective Date: February 5, 2009
09-09 Customer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs)
09-08 SEC Approves Amendments to FINRA Trade Reporting Rules; Effective Date: August 3, 2009
09-07 SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration; Effective Date: January 23, 2009
09-06 FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex; Comment Period Expires: February 20, 2009
09-05 FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
09-04 SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes; Effective Date: February 9, 2009
09-03 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements; Comment Period Expires: February 20, 2009
09-02 FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements; Comment Period Expires: February 20, 2009
09-01 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: February 4, 2009