Quick #9/#10                                              Quick #24

Jan 2022
  • no more OATS replaced with CAT
  • no more OTCBB
  • retirement account updates

    • Jun 2021

  • margin disclosure statement
  • marketing materials
  • IMs and texts VS phone
  • more on trading halts
  • pattern day trading calculation
  • sweep program
  • protection rule applies to same side of market
  • another reason for acct transfer refusal
  • Reg A update
  • Reg D update

    • Jan 2021

  • day trading buying poiwer if in a maintenance call
  • retirement plan updates
  • AML annual review

  • Sep 2020
  • CBOE institutional investor defined
  • obvious error #s
  • social media sites

    • Jul 2020
  • borrowing from reg employees
  • voting proxies

    • Jan.2 2020
  • 529 used to pay off student loans
  • spoofing
  • layering
  • time required working as a rep before qualifying as a principal
  • time required to become a principal

    • Jan 2020
  • retirement plan updates

    • Nov 2019
  • stock dividends / stock splits

    • Oct 2019
  • annual compliance review
  • SIE exam
  • immediate family

    • Aug 2019
  • LOPR reporting
  • public records search U-4
  • heightened supervision
  • public appearance
  • reverse churning
  • custodial accounts
  • trusted contact person - 2 days
  • tender rules on convertibles and warrants
  • MOC time change
  • VA VS variable life insurance
  • SIPC valuation date

    • Jul 2019
  • institutional communication sent to retail investors
  • custodial accounts

    • Apr.3 2019
  • FINRA political contribution rule

    • Apr.2 2019
  • BD inspection every 4 years
  • pre-recorded telemarketing calls

    • Apr 2019
  • broker protocol
  • Section 1035 - variable annuity exchange
  • FINRA Rule 2273

    • Jan 2019
  • retirement plan contributions update

    • Nov 2018
  • mutual fund educational seminars

    • Aug 2018
  • deleted different FINRA licenses no longer tested
  • LEAPs redux
  • JT accounts and divorce proceedings

    • May 2018
  • financial exploitation
  • trusted contact person

    • Apr.2 2018
  • Professional Customer
  • Maker-Taker model

    • Apr 2018
  • Rep or team of Reps assigned to customer is required
  • MSRB Annual Notice to Customers
  • LEAPs maturity

    • Feb 2018
  • 529 up to $10K annually for education under college
  • LOPR
  • Day Trading margin call

    • Jan 2018
  • rich man's exemption $2.1MM net worth
  • senior citizen - exploitation - trusted contact person
  • NYSE-MKT now NYSE-American
  • MSRB customer account transfer now syncs with FINRA rule
  • retirement plan updates

    • Aug 2017
  • settlement is now T + 2, thus effecting things like accrued interest, buy-ins, DVP, ex-dates,...
  • no more 3 quote mandate for non-NASDAQ stocks
  • Reg Sho still 13 consecutive settlement days

    • Jun 2017
  • acting in concert prohibition

    • May 2017
  • Rule 147A
  • Rule 147 - 6 month resale restriction
  • no more Rule 505

    • Apr 2017
  • TRACE reports Gov'ts
  • BrokerCheck redux

    • Mar 2.2017
  • opening accounts at FINRA members

    • Mar 2017
  • arbitration panel composition

    • Mar 2017
  • arbitration panel composition

    • Jan 2017
  • retirement plan updates
  • mention of stop orders not being accepted by exchanges, though firms still accept them
  • Retail Communication redux
  • investment analysis tools
  • TRACE reporting

    • May 2016
  • Reverse collar
  • Market Access
  • outside business on U-4
  • risk-based supervision procedures
  • research personnel trading restrictions modified
  • cease and desist orders
  • customer mail
  • AML person does NOT have to be a principal
  • no more stop & GTC orders on book
  • 5% policy applies to trading of all securities EXCEPT Munis
  • NASDAQ pre-market hours
  • TRACE reporting as soon as practicable
  • household member can obtain breakpoints

    • Oct TWO 2015
  • whistleblower claims excluded from arbitration
  • Reg SP non-affiliated 3rd party
  • bond ballot initiatives
  • VWAP annual renewal letter
  • no cross guarantees for pattern day traders

    • Oct 2015
  • MSRB customer confirmation delivery

    • Sep TWO 2015
  • 529 periodic plan; non-periodic program; periodic statements

    • Sep 2015
  • many specific NYSE rules deleted, as FINRA has finally meshed the 2 regulators' rules
  • if BOM deems an alleged violation didn't happen, it is not reportable
  • outside business activities
  • gov't ID
  • updates to customer account info
  • brokered CDs
  • reverse convertible notes
  • AML procedures for numbered accounts
  • deleted NYSE acknowledgement of customer complaint
  • revised AML Rule
  • obvious price error
  • cost basis for IRAs - tax VS non-tax qualified plans
  • broker of record
  • 529 donor can be beneficiary
  • fingerprinting rule revision

    • Aug 2015
  • Finra Employees opening BD accounts
  • mail

    • Jun 2015
  • Bank Secrecy Act
  • New Issues Chapter redux
  • Regulation A redux
  • Trust Indenture Act $50MM

    • Apr 2015
  • Mini & Jumbo options

    • Jan.2 2015
  • borrowing against 401k plan assets

    • Jan 2015
  • private REITs
  • retirement account updates
  • underwriting lockup 15 days
  • options expiration
  • no more board broker

    • Nov 2014
  • ghost written publications

    • September 2014
  • bulk transfers
  • MSRB Eligibility Proceeding
  • MSRB U-4 information changes
  • MSRB Pre-Dispute Arbitration Agreement
  • MSRB G-19 - 3 Levels of Suitability
  • MSRB G-30 - Prices to Customers
  • MSRB principal/agency trade redux
  • MSRB G-47 - Time of Trade Disclosure
  • firm being MSRB-registered

  • July 2014
  • Correspondence/Sales Literature

    • June 2014
  • Discretionary Options Trading Program
  • Capital Introduction Services
  • More insider actions

    • May 2014
  • Mini options
  • Accredited investor redux
  • Rule 506 allowing advertising for accredited investors

    • Mar 2014
  • Military duty inactive status redux
  • Borrowing/lending redux
  • Outside business activities redux
  • Electronic response encrypted key
  • NASDAQ MarketWatch
  • Late Trading / Market Timing
  • IRA Rollover to Roth
  • 529, including fee disclosure

    • Feb 2014
  • bank guarantee letter
  • annualized return

    • Nov 2013
  • DUI felony

    • Oct 2013
  • Form BR

    • Jun 2nd ver 2013
  • Private Placement Offerings due diligence
  • Reg Rep's signature on new account form
  • senior citizen diminished capacity
  • VWAP disclosure in writing

    • Jun 2013
  • Solicited Contributions

    • Apr 2013
  • Rule 415 redux
  • PIPE

    • Jan 2013
  • Gift limit contribution changes
  • Circuit breakers
  • Communications redux
  • Retirement plan contribution changes
  • Rule 80b deleted

    • Jul 2012
  • AM versus PM settled options
  • DPM - designated primary market maker
  • LMM - lead market maker
  • correspondence further defined
  • qualified covered call

    • Jun 2012
  • customer complaint retention

    • May 2012
  • NYSE MOC orders
  • Short interest reporting

    • Jul 2011
  • NASD Rule changed to FINRA Rule 3310

    • Jun 2011
  • Reportable events update
  • Dual registration prohibition deleted
  • Full time work obligation deleted
  • NYSE Common Sales Acct deleted
  • NYSE trading updates
  • NYSE short sale rule deleted

    • May 2011
  • strike price intervals
  • opening and closing rotations
  • AML Know Your Customer Evaluations

    • Nov 2010.2
  • Narrow-based index options further defined

    • Nov 2010
  • SIPC coverage is $500K, inclusive of $250K in cash

    • Oct.2 2010
  • Leveraged ETF margin
  • Portfolio Margin redux
  • Day Trading Margin redux
  • Leveraged ETFs
  • strategy - risk based margin

    • Oct 2010
  • Consolidated Tape revisions
  • Rule 201 of Regulation SHO
  • ACT System redux
  • trade reporting within 30 seconds
  • 5% Policy applies to OTC and exchange transactions

    • Sep 2010
  • PIPE transactions

    • Aug 2010
  • Rule 10-b-18 redux

    • July 2010
  • options delta

    • June 2010
  • Form D - filed 15 days after first sale
  • Portfolio Margin call must be answered by 3 business days
  • Rule 127 - block trade is 10K shares or $200K market value
  • Pink Sheets found at www.otcmarkets.com

    • April 2010
  • options advertising and sales literature redux
  • contrary exercise advice
  • no more ROSFP - ROP and Designated ROP is used
  • closing/transferring account
  • recommending the liquidation of non-portable positions without considering suitability is a violation
  • S-4 registration
  • NASDAQ IPO cross
  • TRACS system hours 8am-6:30pm ET
  • TRACE reports Agency trades now, but NOT asset-backed Agency bonds

    • January 2010
  • no more Allied Member
  • no license required for a person working in the stock loan dept.
  • no more 4 month apprenticeship
  • no more special gift limits for NYSE employees
  • Customer Account Record
  • ECN 5 second rule deleted
  • firms canNOT vote on customer proxies not returned
  • Access Equals Delivery does NOT apply to mutual fund prospectus
  • SuperDisplayBook
  • Designated Market Maker "replaces" Specialist
  • no more directed orders
  • UTP deleted
  • no more SelectNet
  • ORF
  • Rule 11AC1-4 renamed

    • October 2009
  • Whole Life to Variable Life Exchange

    • September 2009
  • Code of Arbitration revisit
  • vacation homes used to conduct business
  • Web-CRD
  • DUI clarification
  • borrowing from / lending money to customers
  • Communications redux
  • complaints filed by DOE or National Adjudicatory Council
  • Minor Violation = $2,500
  • Arbitration for disputes of $100K
  • pre-arranged trading plans
  • Rule 14e-1 - 5 - Tender Offer info
  • Pattern Day Trader redux
  • Portfolio Margin redux
  • pre-dispute arbitration
  • account statement error notice
  • closing / transferring accounts - receiving / carrying firm
  • interfering with account transfers
  • credit terms can be changed after 30 days notice
  • Rule 5130 redux
  • added Tier 1, 2, & 3 securities
  • Reg SHO applying to trades originated in US executed offshore
  • dividend reinvestment not required when charging 8 1/2%
  • mutual fund sales charge redux
  • selling agreement rules
  • soft dollar remuneration
  • variable annuity redux
  • muni fund advertising comment

    • March 2009
  • retirement plan contribution changes
  • access equals delivery for electronic delivery of prospectuses
  • NASD Rule 2790 is now FINRA Rule 5130
  • Market Makers duration for limit orders
  • payment for travel expenses for LOCAL meetings is allowed
  • variable annuity suitability
  • Gift Limit is now $13,000
  • Municipal Fund advertising

    • December 2008
  • Regulation SP revised

    • November 2008
  • Buy/Write Index Options

    • October 2008
  • Senior Citizen recommendations

    • September 2008
  • Outsourcing by FINRA firms

    • August 2008
  • Research analyst trades contrary to his/her recommendation

    • July 2008
  • Options Premium increments
  • ROSFP replaces CROP/SROP
  • Structured Products
  • Heightened branch office inspections
  • SIPC logo
  • Profit sharing plans contribution amounts
  • Qualified Annuities

    • May 2008
  • More detail on spreads
  • More on world foreign currency options
  • Deleted Rule 80A & Rule 507
  • Stock splits / Stock Dividend Contract adjustments
  • Transferring customer accounts
    		•

    Jan 2022
  • no more OATS replaced with CAT
  • no more OTCBB

    • Jun 2021

  • margin disclosure statement
  • pre-arranged trading safe harbor time
  • monthly trial balance requirement
  • net basis fair pricing
  • marketing materials
  • Rule 5250
  • pattern day trading calculation
  • protection rule applies to same side of market
  • sweep program
  • another reason for acct transfer refusal
  • Reg A update
  • Reg D update
  • Crowdfunding update

    • Jan 2021

  • annual certification submitted 45 days
  • ex-clearing arrangements
  • OATS business day
  • day trading buying power if in a maintenance call

    • Jul 2020
  • HSR 2020 numbers
  • borrowing from registered employees
  • voting proxies

    • Apr 2020
  • Crowdfunding

    • Jan 2020
  • spoofing
  • layering
  • time required working as a rep before qualifying as a principal
  • time required to become a principal

    • Nov 2019
  • DVP + account statement

    • Aug 2019
  • Supervisory Analyst #16
  • heightened supervision
  • qualified VS non-qualified VA
  • trusted contact person
  • residual credit processing
  • OATS time stamp sync
  • Section 4(a)(2) and 4(a)(5)
  • tender rule redux
  • market moving info exception

    • Jul 2019
  • payments to unregistered foreign finders
  • buy-in morning of the 14th day
  • NASDAQ MOC orders 3:55
  • custodial accounts
  • bought deal

    • Jun 2019
  • ABC test
  • claim form SIPC
  • annual compliance meeting contact person
  • escrow deposit for certain underwritings
  • split rated bond
  • liquidity event non-traded REIT
  • Reg A for US and Canada
  • annual attestation of WKSI status on 10K
  • FWP used by issuers
  • ineligible FWP issuers

    • Apr.2 2019
  • DPP and non-traded REIT valuation on customer account statements
  • 2 senior management emergency contacts

    • Apr 2019
  • educational material sent to customers solicited to move their accounts from one BD to another

    • Nov 2018
  • mutual fund educational seminars
  • net capital BDs redux

    • Aug 2018
  • deleted different FINRA licenses no longer tested
  • JT accounts and divorce proceedings

    • May 2018
  • financial exploitation
  • trusted contact person

    • Apr.2 2018
  • QIU update
  • producing supervisor supervision

    • Apr 2018
  • expungement

    • Feb 2018
  • Day Trading margin call

    • Jan 2018
  • rich man's exemption $2.1MM net worth
  • senior citizen - exploitation - trusted contact person
  • NYSE-MKT now NYSE-American

    • Oct 2017
  • third party research VS INDEPENDENT third party research

    • Aug 2017
  • settlement is now T + 2, thus effecting things like accrued interest, buy-ins, DVP, ex-dates,...
  • no more 3 quote mandate for non-NASDAQ stocks
  • Reg Sho still 13 consecutive settlement days

    • May 2017.2
  • more on CNS
  • Reg. A "review"

    • May 2017
  • Rule 147A
  • Rule 147 - 6 month resale restriction
  • no more Rule 505

    • Apr 2017
  • TRACE reports Govt bonds trades
  • BrokerCheck redux

    • Mar 2.2017
  • opening accounts at FINRA members

    • Mar 2017
  • arbitration panel composition

    • Jan 2017
  • broker protocol
  • updated chart for trade reporting
  • reasoning for failure to transfer
  • retail communications filing change
  • investment analysis tools change

    • May 2016
  • risk-based supervision rules
  • IA fiduciary standard
  • Series #57
  • Series #24 in each OSJ exception
  • NYSE no longer takes GTC orders
  • NYSE and NASDAQ do not take stop and stop-limit orders
  • Net Basis orders

    • Jan 2016
  • research rules redux
  • no more 40 IPO; 20 Secondary - now 10 & 3 days
  • TRACE bond reporting as soon as practicable
  • no more 20% heightened office inspection rule
  • 5% mark-up applies to exempt securities, too, EXCEPT for Munis!

    • Oct TWO 2015
  • VWAP annual renewal letter
  • no cross guarantees for pattern day traders

    • Oct 2015
  • Reg SP redux - non-affiliated
  • MM's clearing agreement voided = excused withdrawal
  • research personnel report to retail sales
  • research compensation approved by committee reporting to B.O.D.
  • more on foreign chaperoning agreement

    • Sep 2015
  • reportable events for non-registered and registered employees
  • AML revisit - cage clerks, numbered accounts,...
  • designated AML person need not be registered!

    • Aug 2015
  • mail

    • May 2015
  • accounts for FINRA employees
  • no more NYSE Trading - listing/delisting requirements removed
  • Major Trading Market Rules
  • JOBS Act
  • Hart Scott Rodino #s
  • Trust Indenture Act $50MM
  • Rule 147 6 month integration
  • Form Custody
  • SSOI
  • SIS
  • Annual Compliance Report
  • Annual Exemption Report
  • Repo and Reverse Repo for non-exempt securities
  • Rule 15c3-2-1 deleted

    • Feb 2nd 2015
  • foreign broker dealer exempt from FINRA registration
  • CMO disclosure for retail communications and correspondence
  • independently prepared report filed with SEC as a FWP
  • Subchapter M for REITs
  • VWAP late trade reporting

    • Feb 2015
  • research report rules for foreign broker-dealers

    • Jan.2 2015
  • foreign branch offices
  • interactive content on websites

    • Jan 2015
  • private REITs
  • receiving continued commissions after leaving a firm

    • Nov 2014
  • ghost written publications

    • Oct 2nd version 2014
  • Booster Shot Research Reports NOT Allowed

    • Oct 2014
  • New revamped Series #24!!
  • FACTA
  • reporting of short interest on ALL equities
  • NASD Rule 2720 is now Finra Rule 5121
  • qualified independent underwriter - 3 years
  • removal of MSRB Rule G-37
  • removal of retirement plans

    • Jul 2014
  • Regulation A
  • HSR threshold
  • trade reports odd lots
  • Front Running permitted exceptions
  • Reverse Convertible Notes
  • Bulk Transfer
  • Appealing Finra registration denial

    • Jun 2014
  • Max sales charges DPP & REITs

    • May 2014
  • Accredited investor redux
  • Rule 506 allowing advertising for accredited investors

    • Mar 2014
  • NASDAQ opens at 4AM ET
  • Outsourcing
  • Special inactive status - military duty
  • Borrowing/lending redux
  • Outside business activities redux
  • Annual compliance review
  • Electronic response encrypted key

    • Nov 2013
  • Free Writing Prospectus
  • Third Party Research
  • DUI felony

    • Oct 2013
  • SEC Rule 3b-8
  • Form BR

    • Sep 2013
  • NYSE-Mkt
  • Trades reported within 10 seconds rather than 30
  • Circuit Breaker redux - LULD
  • NASDAQ Market Center - System redux
  • deleted round-up-down
  • Limit order applies to OTCBB and Pink sheets
  • Rogue Trader rules

    • Jun 2nd ver 2013
  • Private Placement Offerings due diligence
  • Reg Rep's signature on new account form
  • senior citizen diminished capacity
  • VWAP disclosure in writing

    • Jun 2013
  • Solicited Contributions

    • Jan 2nd ver 2013
  • Gift limit contribution changes
  • Circuit breakers
  • Communications redux
  • Retirement plan contribution changes
  • Rule 80b deleted

    • Jan 2013
  • Communications redux
  • Rule 80b deleted
  • Circuit breakers
  • Retirement plan contribution changes

    • Jul 2012
  • Simplified Arbitration

    • Jun 2012 2nd version
  • graphic communications
  • non-transferable assets

    • Jun 2012
  • customer complaint retention

    • May 2012
  • short interest reporting
  • NYSE MOC orders
  • HSR thresholds for filing

    • Oct 2011
  • Form 13F
  • Regulation SP is for retail customers
  • TRACS reports trades of NYSE, AMEX, and NASDAQ stocks
  • disclosure on an application includes customer complaints settled for $15K
  • disclosure on an application includes customer complaints heard, decided, or settled

    • Sep 2011
  • bulk transfers - Negative Consent Letter

    • Jul 2011
  • NASD Rule changed to FINRA Rule 3310

    • May.2 2011
  • reportable events
  • revised Communications with the Public

    • May 2011
  • clearing agreements

    • Apr 2011
  • F-3 and F-6
  • amendments to registration redux
  • stabilizing bid redux

    • Jan 2011
  • DMM revisit
  • Arca ECN
  • SuperDisplayBook
  • Rule 440b deleted

    • Nov 2010
  • SIPC coverage is $500K, inclusive of $250K in cash

    • Oct.2 2010
  • Leveraged ETF margin
  • Portfolio Margin redux
  • Day Trading Margin redux
  • Leveraged ETFs
  • strategy - risk based margin

    • Oct 2010
  • trade reporting is now in 30 seconds
  • TRF
  • short-exempt
  • ACT redux
  • 5% Policy applies to OTC AND exchange transactions

    • Sep 2010
  • PIPE transactions in Customer Accounts

    • Aug 2010
  • no S-2
  • Rule 10-b-18 redux

    • June 2010
  • Form D - filed 15 days after first sale
  • Portfolio Margin call must be answered by 3 business days
  • Rule 127 - block trade is 10K shares or $200K market value
  • Pink Sheets found at www.otcmarkets.com

    • March 2010
  • Hart Scot Rodino Amnts
  • TRACS reporting
  • Form S-4

    • January 2010
  • FINRA Rule 5122 Member Private Placement Offerings
  • SEC Rule 17a-3 - Customer Account Record
  • At The Market Offering - a.k.a. Natural Offering
  • Re-registering as a CQS market maker in 1 business day
  • Rule 611
  • NASDAQ Market Watch is notified for trading halts
  • MQ orders
  • no MAQ orders on NASDAQ
  • no directed/non-directed orders
  • SCAN / STGY / DOTA / DOTM Routing
  • no more SelectNet
  • ECN 5 second rule deleted
  • time of trade reporting requirements changed
  • .Z - Late Trade Report
  • .U - Late Trade Report outside of regular market hours

    • October 2009
  • Whole Life to Variable Life Exchange
  • Gun-jumping

    • September 2009
  • Code of Arbitration revisit

    • August 2009
  • FINRA Rule 5150 - Fairness Opinions retooled
  • Regulation SHO applying to trades originated in the US effected offshore
  • Portfolio Margin - $5MM equity for day traders and accounts maintaining unlisted derivatives
  • all felonies are reported on U-4 application; thereafter excluded events are traffic violations and DUIs
  • vacation home IS a branch if used for 30 business days or more
  • Web-CRD to access U-5 info electronically
  • U-5 must be updated regardless of time of employee termination

    • July.2 2009
  • July 31st date included for annual list clearing firm guarantees
  • internet bulletin board
  • correspondence
  • Investment Analysis Tools
  • more on OATS Rules
  • Predispute Arbitration
  • claim amounts for arbitration and panel composition

    • July 2009
  • more updates on TRACE
  • IPO - immediate family
  • portfolio margin not for bonds
  • NASDAQ listing standards
  • recipient issuer must give opinion on tender offer
  • terms of credit changes

    • April 2009
  • Section 4(2)
  • Section 4(6)
  • Mediation used for settling disputes
  • Step-out

    • March 2009
  • Rule 2720
  • revised PIPE transactions
  • Rule 2790 now FINRA Rule 5130
  • pay-as-you go registration fees
  • retirement plan contribution amount changes
  • senior citizen suitability
  • Rule 10b-5-1 Pre-Arranged Trading
  • mutual fund Board of Director composition is 40% non-affiliated
  • variable anunity recommendations

    • December 2008
  • Regulation SP revised

    • November 2008
  • Soft Dollar Arrangements
  • Section 4(2)
  • Media Storage
  • Customer Complaint Forwarding
  • Form 3 for Insider Filing
  • Notification of Account Inaccuracies

    • October 2008
  • Senior Citizen recommendations

    • August 2008
  • Shelf Registration
  • Business Entities: C Corp; S Corp; LLC; LP
  • Road shows
  • Borrowing / Lending Money
  • Net Capital of Prime Broker / Executing Broker
  • Research analyst trades contrary to his/her recommendation

    • July 2008
  • SIPC logo
  • ROSFP replaces CROP/SROP
  • Heightened branch office inspections

    • June 2008
  • Commitment Committee
  • Closing-Post-Closing-IntraDay Cross
  • Structured Product Recommendations
  • Secondary offerings
  • Market On Close orders
  • Ads that include performance rankings
  • Fidelity Bond Review of Coverage
  • Actuary is required for defined benefit plans

    • May 2008
  • Error accounts
  • Notification of customer free credit balances
  • Rule 80A rescinded
  • Regulation NMS Rule 605
  • Rule 392 - IPO Info provided to NYSE
  • TRACS
  • Mark-ups on Debt Securities
  • Rule 610 Market Access
  • Rule 611 Trade Through Rule
  • Rule 612 - Subpenny Quotes
  • Interfering with Customer Account Transfers
  • Chief Complaince Officer
  • Free Writing Prospectus
  • Rule 405
  • Regulation S-K
  • Regulation S-X
  • Mergers and Acquisitions
  • Rule 13a4-1
  • IPO Cross
    		•

    Quick #7                                                        Quick #6

    Jan 2022
  • no more OATS replaced with CAT
  • no more OTCBB
  • retirement account updates

    • Jun 2021

  • FDIC
  • Reg A update
  • Reg D update
  • Crowdfunding update
  • Code of Procedure update

    • Jan 2021

  • updated retirement plan contributions
  • estate tax exclusion
  • non-fixed UIT = participating UIT
  • national debt increased

    • Sep 2020
  • mutual funds redeemed in 7 bus days
  • social media posts
  • advertising allowed for private placements and accredited investors
  • 5% policy for DPPs and thinly traded REITs

    • Aug 2020
  • Regulation BI

    • Aug 2020
  • Regulation BI
  • Form CRS

    • Mar 2020
  • gray market
  • spoofing
  • UTMA redux
  • account statement info
  • defensive interval ratio

    • Jan.2 2020
  • stepped up basis
  • calculating YTM and YTC

    • Jan 2020
  • retirement plan updates

    • Nov 2019
  • spinning
  • variable life and whole life
  • T-Bill maturities
  • margin agreement signing
  • options stock splits and stock dividends
  • target date fund
  • public appearance redux

    • Jan 2019
  • retirement plan contributions update

    • May 2018
  • financial exploitation
  • trusted contact person

    • Apr 2018
  • Annual Notice MSRB - Investor Brochure redux
  • Parity bonds
  • Special Statement Naked Options Writers
  • CMO advertising requirements
  • RR and/or Team assigned to customer account
  • Fund of Hedge Funds redux
  • DPP Offering Memorandum
  • MFP contributions redux

    • Feb 2018
  • tax updates
  • advance refunding update
  • 529 up to $10K annually for education under college
  • Series EE
  • corporate dividend exclusion update

    • Jan 2018
  • bond portfolio - barbells, ladders, bullets
  • retirement plan contributions update
  • S&P 500 weighting

    • Aug 2017
  • settlement is now T + 2
  • no more 3 quote mandate for non-NASDAQ stocks

    • Jun 2017
  • communications filing
  • acting in concert prohibition
  • conflict to have rep also be trustee

    • May 2017.2
  • verifying customer orders

    • May 2017
  • Rule 147A
  • Rule 147 - 6 month resale restriction
  • no more Rule 505

    • Apr 2017
  • TRACE reporting Gov'ts
  • crowdfunding
  • Class C share tweak

    • Mar 2017
  • opening accounts at FINRA members

    • Jan 2017
  • retirement plan updates
  • estate exclusion $5.49MM
  • fund of hedge fund illiquidity

    • Jan 2016
  • research rule updates
  • retirement years changed
  • thresholds for IRA contribution deductibility
  • SIMPLE - SEP IRA redux

    • Sep 2015
  • signature of GP on partnership account
  • NYSE written acknowledgement of customer complaint - deleted
  • unlawful tender offer practices

    • Aug 2015
  • surrendering a variable annuity
  • prime brokerage account
  • participation rate, index-linked CD
  • mail

    • June 2015
  • Amended front-running issues
  • credit default swaps

    • May 2015
  • Regulation A modified
  • EZ Registration
  • Trust Indenture Act $50MM
  • no more MSRB apprenticeship

    • Jan 2015
  • retirement plan updates
  • MSRB pricing for agency/principal trades
  • options expiration
  • custodian account income threshhold
  • outside business activity on U4

    • Sep 2014
  • Macaulay Duration
  • REIT investments
  • specific identification chosen by settlement date
  • average cost per share for mutual funds

    • Jun 2014
  • Certificate of Participation

    • May 2014
  • Private Placement Memorandum
  • Offering Memorandum
  • Accredited investor - Reg. D redux

    • Mar 2014
  • Cash Management Bills
  • interest only / principal only bonds
  • CDOs
  • z tranche
  • floating rate bonds

    • Feb 2014
  • Business Development Companies
  • Venture Capital Funds

    • Aug 2013
  • Retirement planning stuff
  • Forms 1099-DIV and -INT and -B

    • May 2013
  • Senior Citizens having reduced mental capacity
  • Capital Appreciation Bond
  • Private Placement Offering Due Diligence

    • Mar 2nd ver 2013
  • Spin Off
  • Accredited Investor Questionairre
  • FIRNA name redux

    • Mar 2013
  • ETFs redux

    • Jan 2013
  • Gift limit contribution changes
  • Estate tax changes
  • ObamaCare surtax
  • Circuit breakers
  • Communications redux
  • Retirement plan contribution changes
  • Tax rule changes
  • Rule 80b deleted

    • Jul 2012
  • reverse convertible note
  • leveraged ETFs expanded
  • correspondence and sales literature redefined

    • Jan 2012
  • Regulation AC
  • Regulation M
  • Regulation SP
  • Regulation FD
  • 1035 Exchanges
  • GMIB
  • NASDAQ System changes
  • reg reps accepting unsolicited OR solicited orders must be registered in the state

    • May 2011
  • Exchange Traded Notes (ETNs)

    • Feb 2011
  • Specialist is the Designated Market Maker (DMM)
  • Arca ECN
  • Super Display Book replaces SuperDOT
  • Rule 440b deleted
  • how to calculate approx bond price
  • FINRA OTC trades report within 30 seconds - exchange floor trades have still a 90 second reporting
  • Regulation SHO - short sale rule revised - stock falls by 10%
  • confirmations for regular way trades VS cash trades
  • 5% Policy applies to exchange trades now, too
  • Comparisons and DKs revision
  • Minimum margin for day trading is 25% of intra-day high
  • IRA amounts for joint returns - phase out and ROTH revisions
  • estate tax max of 35% and exclusion of $5MM
  • Form D is filed 15 calendars days AFTER the first sale
  • Options Advertising and Sales Literature revision

    • Nov 2010
  • SIPC coverage is $500K, inclusive of $250K in cash

    • Mar 2010
  • Build America Bonds

    • May 2009
  • members handle non-NASDAQ limit orders using internal systems
  • Regulation NMS - Rule 605

    • February 2009
  • RTC deleted
  • New Housing Authority bonds deleted
  • White's Rating deleted
  • PSA - Public Securities Association deleted
  • Index-linked structured products
  • Auction Rate securities
  • stock splits - their affect on options contracts
  • VIX options
  • senior citizen suitability
  • ROP "replaces" CROP/SROP
  • many retirement plan contribution increases
  • estate exclusion is $3.5MM
  • custodian account amount is $1,900
  • mutual fund Board of Director composition - 40% non-interested
  • detailed variable annuity suitability
  • access equals delivery - electronic prospectus delivery is allowed
  • all Treasuries have $100 par minimum, though the $1,000 par should still be tested
  • T-Bonds auctioned quarterly
  • Rule 415 - add-on offerings - good for 3 years
  • statute of limitation for violations now 2 years of discovery and 5 year statute
  • securities valued at the date of bankruptcy filing for SIPC purposes
  • pre-use review of all correspondence
  • research personnel allowed to trade contrary to firm's recommendations with prior approval of compliance
  • foreign broker-dealers doing business in the U.S.

    • January 2008
  • World Foreign Currency Options
  • Network C
  • Unlisted Trading Privileges
  • Rule 80A rescinded
  • Creation of FINRA
  • Durable Power of Attorney
  • Transferring Customer Acconts
  • Custodian Accounts
  • Portfolio Margins
  • Retirement Plan Contribution Changes
  • Rule 144 changes
  • Insider Trading Violations
    		•

    Jan.2.3 2020
  • Secure Act changes
  • 529 changes

    • Jan 2020
  • retirement plan updates

    • Jan 2019
  • custodian account substantial income being taxed at estate/gift tax
  • retirement plan updates
  • SEP redux

    • Feb 2018
  • tax updates
  • corporate dividend exclusion update
  • Series EE bonds

    • Jan 2018
  • retirement plan updates

    • Aug 2017
  • corp/muni settlement is now T + 2

    • Apr 2017
  • Class C share tweak
  • $3K money orders

    • Mar 2017
  • opening accounts at FINRA members

    • Jan 2017
  • retirement plan updates
  • Form 105
  • Form 112
  • advertising redux

    • Aug 2015
  • mail

    • Jan 2015
  • dates changed

    • Jan 2014
  • Market timing
  • Late trading
  • Prohibited practices update
  • FINRA suitability redux
  • ETF additions

    • Jan 2012
  • Equity Indexed Annuities
  • Variable Life Settlements
  • Federal Telephone Consumer Protection Act additions

    • Nov 2010
  • SIPC coverage is $500K, inclusive of $250K in cash
    		•

    Quick #66                                                       Quick SIE                     

    Jan 2022
  • Donor Advised Funds
  • no more OTCBB
  • retirement account updates

    • Jun 2021

  • Access persons
  • Code of Ethics update

    • Jan 2021

  • updated retirement plan contributions

    • Sep 2020
  • 401k loans

    • Jun 2020
  • Chariitable Lead Trust
  • Chariitable Remainder Trust
  • foundation
  • disability insurance
  • life insurance proceeds

    • Jan 2020
  • retirement plan updates

    • Jul 2019
  • Form BD
  • variable universal like
  • portfolio immunization
  • contingent portfolio immunization
  • 1031 exchange
  • inertial inflation
  • no 10% penalty for 401(k) and 403(b) Rule of 55 withdrawals

    • Jan 2019
  • retirement plan contributions update

    • Oct 2018
  • Tenants by Entireties
  • structured securities
  • social security benefits
  • attending conferences
  • basis quote
  • Rule 502(c)

    • Feb 2018
  • 529 update
  • settlement
  • corporate dividend exclusion update

    • Jan 2018
  • retirement plan updates
  • gift and estate tax amounts

    • Aug 2017
  • Rule 147 - 6 months

    • Jan 2017
  • variable life settlements
  • retirement plan updates
  • estate exclusion update

    • Jun 2016
  • private fund adviser
  • private fund
  • exempt reporting adviser
  • social media investing
  • cyber security

    • Jun 2 2015
  • Administrator redux
  • vacationing redux
  • advertising & sales literature

    • Jun 2015
  • party-in-interest retirement plans

    • Apr.2 2015
  • financial leverage
  • market/limit/stop orders

    • Apr 2015
  • EAFE Index
  • Trading Considerations
  • trading away
  • stock options grants

    • Jan 2015
  • harvesting IRA tax losses

    • Oct 2nd version2014
  • personal bankruptcy

    • Oct 2014
  • U-4, U-5, U-6

    • May 2014
  • Private Placement Memorandum
  • Offering Memorandum
  • Accredited investor - Reg. D redux

    • Apr 2014
  • non-deductible items in AMT
  • perpetuity calculation revised
  • recipient's holding period - gift versus inheritance

    • Mar 2014
  • Totten Trust
    		•

    Jan 2022
  • no more OTCBB
  • retirement account updates

    • Jun 2021

  • Code of Procedure update
  • U4 content update

    • Jan 2021

  • updated retirement plan contributions
  • non-fixed UIT = participating UIT

    • Aug 2020
  • Regulation BI
  • Form CRS

    • Jun.2 2020
  • extrinsic value

    • Jun 2020
  • VOID POA
  • OTCBB and Pink redux

    • Jan 2020
  • retirement plan updates

    • Jan 2020
  • Nat'l debt $23 trillion
  • deleted Reg A
  • retirement plan updates
  • Official Statement defined
  • deleted muni underwritings

    • Nov 2019
  • 2-month T-Bills
  • target date fund

    • Sep 2019
  • breakpoints allowed for same household
  • covered options writing
  • natural person definitions
  • PIPE transactions
  • borrowing rules
  • anybody can take SIE exam
  • fingerprinting requirements
  • disinflation
  • systematic and non-systematic risks
  • beta

    • Apr 2019
  • mutual fund ex-date
  • 40% of BOD of mutual fund non-interested
  • mutual funds are not marginable for 30 days
  • RR not signing for self-directed online accounts
  • Roth IRA not taxable
  • 529 rollover to another state - recapture
  • EZ registration
  • Reg A
  • Rule 415
  • Reg S
  • Reg FD redux
  • time on do not call list
  • family members buying IPOs
  • more on Federal Reserve
  • stock market indicators

    • Jan 2.2019
  • Sarbanes Oxley
  • estate tax
  • custodial account

    • Jan 2019
  • issued, authorized, Treasury stock
  • common stock valuation - dividend yield, multiple
  • systematic risk / non-systematic risk
  • administrative claims in a liquidation
  • tax status of US Gov't debt
  • in-kind redemption
  • cannot recommend selling fund to use proceeds to buy exact same fund
  • max 12b-1 fee and still be called no-load
  • delete Late Trading / Market Timing
  • delete Regulation ATS
  • non-correlated assets for DPPs
  • DTC / OCC / NSCC
  • accrued interest
  • cost basis of inherited securities
  • options opening / closing transactions
  • index options added
  • SARS / Bank Secrecy Act / CTRs
  • AML revision
  • Variable Life
  • retirement contribution changes
  • 529 donor can be beneficiary
  • natural person VS legal person state regulation
  • added who must be registered
  • annual compliance review
  • U-4 amendment
  • non-cash compensation for RR
  • record retention
    		•
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