FINRA Announces Results of SFAB, NAC and District Committee Elections
April 2014 Supplement to the Security Futures Risk Disclosure Statement
Nominees for the District Committees and District Nominating Committees
Nominees for the District Committees and District Nominating Committees
Comment Period Expired: March 31, 2017
The Cross-Market Equities Supervision: Auto Execution Manipulation report is a tool designed to provide firms feedback on exceptions that were generated based on the firm’s order entry and trading activity in a given surveillance period. The report covers auto execution manipulation. This report is produced on a monthly basis.
Summary Report
The table below provides
Election Results for District Committees and District Nominating Committees
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
Notice of FINRA District Committee Elections and Ballots
