On October 16, 2018, FINRA announced the Small Firm Advisory Committee (SFAC) election for North and West Regions. Eligible small firms in the North and West Regions were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 15, 2018, and the newly elected SFAC member will take office in January 2019.
Candidates
Firms may vote for one
Notice of SFAC Election and Ballots
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
2018 FINRA Regional Committee Election
Notice of FINRA Regional Committee Elections and Ballots
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Beginning Thursday, November 1, 2018, FINRA will discontinue processing the FINRA-Bloomberg Active U.S. Corporate Bond Indices.
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
Administrative Changes to the Continuing Education Regulatory Element Programs
