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Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, Member Supervision's new head of Data Analytics and Technology explains how FINRA is augmenting its examination and risk monitoring program.
NASD Rule 2210 - Communications with the Public
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
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Table of Contents
FINRA-Registered Representatives by Firm Size
Average and Median Number of FINRA-Registered Representatives per Firm
Securities Industry Registered Individuals by Type of Registration (2018)
Securities Industry Registered Individuals by Type of Registration (2014-2018)
FINRA-Registered Representatives – Leaving/Entering the Industry
Firm Size Distribution of
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional 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 with FINRA on proposed policies and
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
ACTION REQUIREDMail VoteLast Voting Date: May 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementNASD By-LawsExecutive SummaryNASD invites members to vote to approve amendments to the NASD By-Laws that will: eliminate two seats on the NASD Board of Governors (NASD Board) that are currently reserved for representatives of the American Stock