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On October 21, 2019, FINRA announced the Small Firm Advisory Committee (SFAC) election for New York Region. Eligible small firms in the New York Region were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 20, 2019, and the newly elected SFAC member will take office in January 2020.
Candidates
Firms may vote for one candidate
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the North region and one representing the West region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 8, 1985, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-25 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
Richard W. Hill,
The Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.
In regards to regulatory notice 21-19 regarding short positions... In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with impunity. The SEC and
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
The purpose of unclaimed property laws is to protect consumers by ensuring money owed to them can be returned to them or any heirs. But those same laws can cause headaches for consumers who don't stay on top of their accounts.
Sec. 15. Any Governor may resign at any time either upon written notice of resignation to the Chief Executive Officer or the Secretary. Any such resignation shall take effect at the time specified therein or, if the time is not specified, upon receipt thereof, and the acceptance of such resignation, unless required by the terms thereof, shall not be necessary to make such resignation effective
Insofar as a member or person associated with a member exercises discretion to trade in index warrants, currency index warrants, or currency warrants in a customer's account, such account shall be subject to the provisions of Rule 2360(b)(18). The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
Amended by SR-FINRA-2008-