Regulatory Circulars

  • Year: 

     

November 02, 2018:   RG18-043 New Report Cards Hosted on FINRA Report Center 
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October 31, 2018:   RG18-042 Consolidated Audit Trail Industry Member Technical Specifications - Updated 
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October 29, 2018:   RG18-041 Bid-Ask Differentials for TLRY 
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October 26, 2018:   RG18-040 On-Floor and Off-Floor Position Transfers - Effective Date of Recently Approved Changes to Rule 6.49A Delayed Pending SEC Review 
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October 19, 2018:   RG18-039 On-Floor and Off-Floor Position Transfers 
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October 16, 2018:   RG18-038 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Derivatives and Risk Inherent in Settlement Procedure 
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October 16, 2018:   RG18-037 Approved Changes to Modified Opening Procedure for Series Used to Calculate the Exercise or Final Settlement Value of Expiring Volatility Index Derivatives 
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October 08, 2018:   RG18-036 Pending Changes to Modified Opening Procedure for Series Used to Calculate the Exercise or Final Settlement Value of Expiring Volatility Index Derivatives 
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September 25, 2018:   RG 18-035 SEC Staff Issues Guidance on Third-Party Recordkeeping Services 
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September 21, 2018:   RG18-034 Give Up Changes Made by Executing Trading Permit Holders 
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