TFOG - 6/6/12 SRO FINRA

TFOG - 6/6/12 Select Updates in Rules from Our government with Financial Impacts: June 6th s updates were relevant to FINRA - the Securities Exchange SRO most directly associated with Broker-Dealers and Registered Investment Advisers.

FINRA:

1. Rule 4210 Margin Requirements
2. Trading halts due to Market Volatility
3. FINRA Rule 5270 - Front Running of block transactions


2012-13698

2012-13652

2012-13638

DCarsonCPA.com your link to the Practice of Dean T. Carson II, CPA here to support Clients on Accounting, Taxes, Compliance, Advisory, Analysis, related Research and more. Working with hands on skills, knowledge, teamwork and research to support Financial Decision Makers in broad areas. Learn more at www.dcarsoncpa.com or e-mail info@dcarsoncpa.com .

TFOG 6/4/12 - FRS Supervised Securities Holding Company Registration

TFOG (Today from our Government) 6/4/12 - select Financial Updates from the Executive Branch:

Federal Reserve System -  Final Rule: Supervised Securities Holding Company Registration


2012-13311


DCarsonCPA.com there's a connecting line built on knowledge, hands on Financial experience, teamwork and research and the financial decision making that connects Government, Industry, Non Profits and Individuals. Available to provide client services on Accounting, Taxes, Compliance, Financials, Management Reporting, Business Analysis, Research and more. Learn more at http://www.dcarsoncpa.com/ or e-mail info@dcarsoncpa.com .