Regulatory Notice 22-25 - Heightened Threat of Fraud
FINRA Regulatory Notice 10-22 - BDs to Conduct Reasonable Investigations in Reg D Offerings
FINRA Regulatory Notice 21-15 - Options Account Approval, Supervision and Margin Requirements
FINRA Regulatory Notice 21-29 - Supervisory Obligations Related to Outsourcing to 3rd-Party Vendors
Investing 2020: New Accounts and the People Who Opened Them
FINRA Regulatory Notice 21-12 – Order Handling and Liquidity Management During Extreme Market Condit
FINRA Regulatory Notice 21-23 - FINRA Reminds Member Firms of Requirements Concerning Best Execution
SEC Bulletin: Risks Associated with Omnibus Accounts Transacting in Low-Priced Securities
FINRA Regulatory Notice 15-46 - Guidance on Best Execution
FINRA Regulatory Notice 21-03 - Low-Priced Securities
SEC Risk Alert - Compliance Issues Related to Suspicious Activity Monitoring and Reporting
Regulatory Notice 10-18 - FINRA Guidance on Master and Sub-Account Arrangements
FINRA Examination of Zero Commissions
SEC Report on Algorithmic Trading in U.S. Capital Markets
Illegal Practices of High-Frequency Trading (HFT) firms
SEC Market Structure Research: Speed of the Equity Markets
U.S. Equity Market Structure Primer
