Recent Updates

Total 1046
69W-600.0032. Notice-Filing of Branch Office (Non-FINRA Dealer)
Amendment    |   Updated: 11/13/2019
69W-600.0033. Notice Filing of Branch Office (Issuer/Dealer)
Amendment    |   Updated: 11/13/2019
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
Amendment    |   Updated: 11/13/2019
69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
Amendment    |   Updated: 11/13/2019
69W-600.0132. Custody Requirements for Investment Advisers
Amendment    |   Updated: 11/13/2019
69W-600.014. Books and Records Requirements
Amendment    |   Updated: 11/13/2019
69W-600.0151. Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers
Amendment    |   Updated: 11/13/2019
69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
Amendment    |   Updated: 11/13/2019
69W-700.001. Registration of Securities
Amendment    |   Updated: 11/13/2019
69W-700.002. Filing of Prospectus
Amendment    |   Updated: 11/13/2019
69W-800.001. Filing - Notification Registration Including Shelf Filings
Amendment    |   Updated: 11/13/2019
69W-800.004. Circulation of Preliminary Prospectus
Amendment    |   Updated: 11/13/2019
69W-900.001. Disclosure of Business Activities in Cuba
Amendment    |   Updated: 11/13/2019
53ER19-69. MERRY MONEY MATCH
New    |   Updated: 11/01/2019
53ER19-70. BLIZZARD BINGO
New    |   Updated: 11/01/2019
59G-4.330. Non-Emergency Transportation Services
Amendment    |   Updated: 11/01/2019
64B15-19.002. Violations and Penalties
Amendment    |   Updated: 11/01/2019
64B15-19.0065. Notices of Noncompliance; Minor Violations
Amendment    |   Updated: 11/01/2019
65C-41.003. Eligibility Requirements
Amendment    |   Updated: 11/01/2019
65C-41.0031. Supervised Living Arrangement
Amendment    |   Updated: 11/01/2019