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2011


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Contents:
11-56 FINRA and ISG Enhance Electronic Blue Sheet Submissions; Effective Date: August 31, 2012
11-55 FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities; Effective Date: December 15, 2011
11-54 FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
11-53 SEC Approves Amendments to TRACE Reporting Requirements to Conform With Requirements in the Multi Product Platform
11-52 FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
11-51 Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012; Payment Deadline: December 12, 2011
11-50 SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing; Effective Date: December 2, 2011
11-49 FINRA Provides Guidance on Advertising Regulation Issues
11-48 FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location; Comment Period Expires: December 9, 2011
11-47 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
11-46 FINRA to Require Electronic Submission of Annual Audit Reports; Effective Date: November 8, 2011, for all annual audit reports with a fiscal year end on or after September 30, 2011
11-45 FINRA Revises the Series 7, 17, 37 and 38 Examination Programs; Implementation Date: November 7, 2011
11-44 FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements; Comment Period Expires: November 12, 2011
11-43 FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest; Comment Period Expires: October 21, 2011
11-42 Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
11-41 FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
11-40 SEC Approves Amendments Clarifying Certain Exceptions Under Trade Reporting Rules and Adopting Notice Requirement for Transactions That Are Part of an Unregistered Secondary Distribution; Effective Date: November 1, 2011
11-39 Guidance on Social Networking Websites and Business Communications
11-38 Application of the SEC's Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor's
11-37 Trading Pause Rule Expanded to All NMS Stocks; Effective Date: August 8, 2011
11-36 Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
11-35 FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices; Effective Date: August 8, 2011
11-34 FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
11-33 SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule; Effective Date: October 17, 2011
11-32 FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
11-31 Interim Pilot Program on Margin Requirements for Credit Default Swaps; Effective Date: July 16, 2011
11-30 FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date; New Effective Date: October 3, 2011
11-29 Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
11-28 FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board; Comment Period Expires: August 1, 2011
11-27 SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities; Effective Date: July 1, 2011
11-26 SEC Approves Consolidated Financial Responsibility and Related Operational Rules; Effective Date: August 1, 2011
11-25 New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations; Implementation Date: July 9, 2012
11-24 SEC Approves Consolidated FINRA Customer Order Protection Rule; Effective Date: September 12, 2011
11-23 Five-Day Period for Replies to Responses to Motions in Arbitration; Effective Date: June 6, 2011
11-22 Arbitration Panel Composition for Promissory Note Disputes; Effective Date: June 6, 2011
11-21 SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds; Effective Date: January 1, 2012
11-20 SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions; Effective Date: May 16, 2011
11-19 SEC Approves Consolidated FINRA Rules Governing Books and Records; Effective Date: December 5, 2011
11-18 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
11-17 Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings; Effective Date: May 16, 2011
11-16 Treatment of Non-Margin Eligible Equity Securities; Effective Date: July 1, 2011
11-15 Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
11-14 FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm's Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider; Comment Period Expires: May 13, 2011
11-13 FINRA Revises Sanction Guidelines; Effective Immediately
11-12 FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act
11-11 FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports; Comment Period Expires: April 25, 2011
11-10 FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
11-09 New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490; Effective Date: March 14, 2011
11-08 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees; Comment Period Expires: March 28, 2011
11-07 FINRA Revises the Sanction Guidelines; Effective Date: February 9, 2011
11-06 SEC Approves Consolidated FINRA Rule Governing Reporting Requirements; Effective Date: July 1, 2011
11-04 FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements; Comment Period Expires: March 14, 2011
11-05 Customer Option to Choose an All Public Arbitration Panel in All Cases; Effective Date: February 1, 2011
11-03 FINRA Expands the Order Audit Trail System to All NMS Stocks; Effective Date: July 11, 2011
11-02 SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations; Effective Date: October 7, 2011
11-01 2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches; Payment Deadline: February 4, 2011