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Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
Continuing Education Planning
Mid-Year Rate Adjustment for Fees Paid Under Section 31 of the Exchange Act
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Submission of PAIB Computation in FOCUS Filings; Reporting INSITE Data
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Continuing Education Planning
FINRA Surveys to Update the Series 27, 28 and 55 Qualification Examinations
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs