2015.1211 MSRB Regulatory Notice 2015-16, Request for Comment on Draft Rule Amendments to Require Confirmation Disclosure of Mark-Ups for Specified Principal Transactions with Retail Customers Paige PierceOctober 16, 2017
2015.1211 FINRA Regulatory Notice 15-36, Pricing Disclosure in the Fixed Income Markets Paige PierceOctober 16, 2017
2015.0708 Department of Labor RIN 1210-AB32, DOL Fiduciary Rule Proposal Paige PierceOctober 16, 2017
2014.0428 FINRA Regulatory Notice 14-09, Proposed Rule Set for Limited Corporate Financing Brokers Paige PierceOctober 16, 2017
2012.0427 SEC File No SR-MSRB-2012-04, Proposed Rule G-43 (Municipal Securities Broker's Brokers and Associated Amendments) Paige PierceOctober 16, 2017
2011.0427 MSRB Notice 2011-18, Request for Comment on Draft Rule G-43 on Broker's Brokers and Associated Amendments Paige PierceOctober 16, 2017
2010.1109 SEC File No SR-MSRB-2010-10, MSRB Proposal to Amend Rule A-13 (Increase Transaction Assessments and Institute New Technology Fee) Paige PierceOctober 16, 2017
2010.0604 MSRB Notice 2010-10, Request for Comments on Draft Interpretive Guidance on Prevailing Market Prices and Mark-Ups for Transactions in Municipal Securities Paige PierceOctober 16, 2017
2009.0713 SEC File No. SR-FINRA-2009-039, Adoption of FINRA Rule 3310 (Anti-Money Laundering Compliance Program) Paige PierceOctober 16, 2017
2008.0630 MSRB Notice 2008-24, Proposal to Create Centralized System for VRDOs Paige PierceOctober 16, 2017
2008.0613 FINRA Regulatory Notice 08-24, Supervision and Supervisory Controls Amendments Paige PierceOctober 16, 2017
2007.1217 MSRB Notice 2007-33, Draft Rule Changes to Establish Electronic Access System for Official Statements Paige PierceOctober 16, 2017
