FINRA Reg. Notice 12-20 The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Spring 2012 Firm Element Advisory (FEA). The Council produces the FEA to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the prior FEA are indicated in the document as such. Cross References: Updated FEA (external link).

View study here. Release Date: April 11, 2012 Cross Reference Dodd-Fra nk § 929Y

FINRA Reg. Notice 12-19 FINRA is reminding firms of their notification obligations under FINRA Rules 5190 and 6275(f), and FINRA trade reporting rules relating to distributions that are subject to SEC Regulation M. In addition, FINRA is announcing a new process for the electronic submission of the notice and information required under the rules. Beginning June 4, 2012, firms are required to make submissions under Rule 5190, Rule 6275(f) and applicable trade reporting rules in accordance with the new electronic submission process. Prior to the effective date, FINRA will provide access to the

The latest Advisers Act Enforcement Action -- Mark Yagalla; IA-3395 (released 04/12/2012).

The latest Advisers Act Enforcement Action -- John D. Friedrich; IA-3394 (released 04/06/2012).