1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with Conflicts
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
On This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning CoursesEarn CFP CreditsOverviewFinancial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.By delivering Firm Element training via the FLEX
(a) Digital or Other Recording(1) Except as provided in paragraph (b) of this Rule, the Director will make a digital or other recording of every hearing. Executive sessions (i.e., discussions among arbitrators outside the presence of the parties, their representatives, witnesses, and stenographers) held by the panel will not be recorded. The Director will provide a copy of the recording to any
(a) Tape, Digital, or Other Recording(1) Except as provided in paragraph (b) of this Rule, the Director will make a tape, digital, or other recording of every hearing. Executive sessions (i.e., discussions among arbitrators outside the presence of the parties and their representatives, witnesses, and stenographers) held by the panel will not be recorded. The Director will provide a copy of the
The honors program is a two-year rotational program open to recent law school graduates and attorneys concluding clerkships. These full-time positions offer the opportunity to do sophisticated legal work to protect investors and the financial markets.
Sec. 3. Each member shall appoint and certify to the Secretary of the Corporation one "executive representative" who shall represent, vote, and act for the member in all the affairs of the Corporation, except that other executives of a member may also hold office in the Corporation, serve on the Board or committees appointed under Article IX, Section 1 or otherwise take part in the
TRACE Corporate and Agency volume for all current day’s transactions displayed in the TRAQS Time and Sales Scan are now accurately reflecting volume reported in trades.Please note, trade volume reported for Monday, October 21, 2024, and Tuesday, October 22, 2024, are still displayed inaccurately.
