Election Notice – 12/19/19
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and appointed to the Regional Committees, SFAC and NAC.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.