L&S Consulting Group, Inc.

Saturday 04 July

CBOE Regulatory Circular RG 09 – 060
Continuing Education Firm Element Advisory
FINRA Regulatory Notice 09-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Regulatory Notice 09-23
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure); Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
MSRB Notice 2009-04
SEC Approves Proposal to Increase Transparency of Auction Rate Securities and Variable Rate Demand Obligations

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