2016 Small Firm Compliance, FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed Income Securities Paige PierceOctober 16, 2017
2016 Small Firm Compliance, Rule Update - BrokerCheck Communication with the Public Paige PierceOctober 16, 2017
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
