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Summary
The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees (formerly known as District Committees). The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting
For Your Information
Various updates.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Effective October 1, 2007, the fee for processing each set of fingerprints submitted by a member firm to FINRA will decrease from $35 to $30.25.
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
NASD 2002 Renewals Program
Notice of Special Meeting of Large Firms and Proxy
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Final Renewal Statements