Recent Announcements for Industry Professionals
December 2008
Regulatory Notice
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
Podcast
November 2008 Monthly Recap
November 2008
Regulatory Notice
FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Regulatory Notice
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Regulatory Notice
Fair and Accurate Credit Transactions Act of 2003
Podcast
AML Law Enforcement Requests
News Release
Small Firms Elect Coordinated Capital Securities CEO Mari Buechner to Fill Vacant FINRA Board of Governors Seat
Election Notice
Notice of SFAB Election and Ballots
Online Workshop
Customer Data Protection Issues for Small Firms, December 2, 2008; Registration closes soon.
Regulatory Notice
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors; Comment Period Expires: December 18, 2008
Online Learning
An e-learning course and a webcast about the equity trading process
News Release
Citigroup Global Markets Fined $300,000 for Failing to Supervise Commissions Charged to Customers on Stock and Option Trades
Information Notice
September 2008 Supplement to the Options Disclosure Document
Podcast
Managing Risk in Today’s Market
Regulatory Notice
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Regulatory Notice
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Regulatory Notice
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities
Podcast
October 2008 Monthly Recap
Information Notice
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
October 2008
Regulatory Notice
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Information Notice
Continuing Education Planning
Regulatory Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Classroom Learning
Compliance Boot Camp II - New York, NY - December 4-5, 2008; Registration closes next week.
News Release
J.P. Turner Fined $250,000 for Failing to Supervise Commissions Charged on Stock Trades
Podcast
Rulebook Consolidation Process
Regulatory Notice
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases; Effective Date: November 24, 2008
Election Notice
FINRA Notice of Special Meeting of Small Firms and Proxy
Speech
Read or Listen to Remarks by Mary Schapiro From the Fall Securities Conference
Speech
Remarks by Mary Schapiro From the ACLI Annual Conference
Speech
Remarks by Mary Schapiro at the Dominican University Ethics and Leadership Lecture, "The Road Ahead in Regulation"
Regulatory Notice
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws; Proposed Implementation Date: January 2, 2009
E-Learning Course
Structured Products
Information Notice
FINRA Survey to Update the Series 7 Exam
Information Notice
New Account Application Template
Regulatory Notice
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds; Effective Date: October 21, 2008
Regulatory Notice
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
Webcast
Structured Products
Regulatory Notice
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Regulatory Notice
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
Regulatory Notice
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
News Release
FINRA Fines SunTrust Investment Services $700,000 for Fee-Based Account and Excessive Commission Violations
Regulatory Notice
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expires: November 14, 2008
Regulatory Notice
Guidance on Special Purpose Acquisition Companies
Election Notice
FINRA Small Firm Advisory Board Election
Message from Mary Schapiro, CEO
Update on FINRA’s Actions in Response to Recent Market Events
Podcast
September 2008 Monthly Recap
Regulatory Notice
SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
September 2008
E-Learning Course
Conflicts of Interest
Webcast
Conflicts of Interest
Regulatory Notice
SEC Approves Amendments to FINRA's Transaction Reporting Rules to Require Prompt Last Sale Reporting of Transactions in Foreign Securities; Effective Date: October 27, 2008
Online Workshop
Customer Data Protection Issues for Small Firms – December 2, 2008
Regulatory Notice
Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
Conference
Fall Securities Conference – Carlsbad, CA - October 22 -24, 2008; Discounted Registration Rates Have Been Extended to October 3, 2008
Regulatory Notice
FINRA Announces Effective Date for Expansion of NASD IM-2110-2 to OTC Equity Securities and Revised Minimum Price-Improvement Standards in IM-2110-2; Effective Date: November 11, 2008
Speech
View remarks from CEO Mary L. Schapiro at the SEC's Third Annual Senior Summit
Podcast
FINRA Firm Gateway
Regulatory Notice
Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
News Release
FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
News Release
Statement of the Financial Industry Regulatory Authority Regarding Lehman Brothers, Inc. and Neuberger Berman, LLC
Regulatory Notice
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
Information Notice
Loose-Leaf FINRA Manual Subscription
Regulatory Notice
Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers’ Clearing Deposits
News Release
FINRA Sanctions Three Brokers for Sales of CMOs to Retail Investors
News Release
FINRA Expels Barron Moore and Takes Disciplinary Actions Against Seven Individuals for Illegal Sales of Unregistered Penny Stocks
