Legal and Regulatory

 

Regulatory Circulars


C2 Regulatory Circulars

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April 27, 2015:   C2 RG15-019 Proposed Securities Trader Registration Category and Qualification Examination (Series 57) 
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April 13, 2015:   C2 RG15-018 Regulatory Oversight Information Session 
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April 13, 2015:   C2 RG15-017 Continuing Education Firm Element Advisory 
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March 31, 2015:   C2 RG15-016 Changes to Fees Schedule 
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March 31, 2015:   C2 RG15-015 Expiring Exercise Declaration Submissions for Thursday, April 2, 2015 
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March 23, 2015:   C2 RG15-014 Operational Settings for Options on the Russell 2000 Index (RUT) 
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March 18, 2015:   C2 RG15-013 Russell 2000 Index Options (RUT) Fees 
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March 11, 2015:   C2 RG15-012 Automatic Order Handling Process in No-Bid Series 
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March 10, 2015:   C2 RG15-011 Restrictions on Transactions in Allied Nevada Gold, Corp. (ANV) 
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March 09, 2015:   C2 RG15-010 Anti-Money Laundering Compliance Program Filing Requirements for Certain Trading Permit Holders 
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