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You are viewing Updates in FINRA Manual
Showing results 1 to 7 of 7
1 - 17-08 SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds; Effective Date: May 14, 2018 (15 February 2017)
Notices  >> 2017 
2 - 11140. Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants" (13 February 2017)
FINRA Rules  >> 11000. UNIFORM PRACTICE CODE  >> 11100. SCOPE OF UNIFORM PRACTICE CODE 
3 - 0180. Application of Rules to Security-Based Swaps (11 February 2017)
FINRA Rules  >> 0100. GENERAL STANDARDS 
4 - 17-07 Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports (10 February 2017)
Notices  >> 2017 
5 - 17-06 FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public; Comment Period Expires: March 27, 2017 (10 February 2017)
Notices  >> 2017 
6 - 17-05 FINRA and ISG Update Certain Electronic Blue Sheet Data Elements; Effective Date: February 6, 2017 ( 1 February 2017)
Notices  >> 2017 
7 - 1032. Categories of Representative Registration (30 January 2017)
NASD Rules  >> MEMBERSHIP AND REGISTRATION RULES (1000)  >> 1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS  >> 1030. Registration of Representatives 
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