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2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Price Validation and Price-Override Protocol
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
CE Online and S101 Personalization
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 14, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The two-year terms of
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed