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Report From FINRA Board of Governors Meeting – May 2023
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees. The Board appointed
Regulatory Notice 18-05
Regulatory Notice Notice Type Request for Comment Referenced Rules & Notices Exchange Act Sections 3(a)(10), (12), (29) and (42) FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710 NASD Rules 1021, 1022, 1031, 1032 and 1050 SEA Regulation NMS SEC Regulation AC
Funding FINRA’s Mission
As a not-for-profit membership organization, FINRA is committed to openness and engagement with our member firms regarding our financial plans. In that spirit, we are writing to update you on FINRA’s current financial situation and our path forward for funding FINRA’s mission of protecting investors and promoting market integrity while facilitating vibrant capital markets. As we have stated in several prior financial reports and communications, this path forward must eventually include an increase in member fees. 
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds
In addition to this amount, LPL will also be paying restitution to eligible customers.
Regulatory Notice 15-38
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
0160. Definitions
(a) The terms used in the Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in a Rule, or unless the context of the term within a Rule requires a different meaning. (b) When used in the Rules, unless the context otherwise requires: (1) "By-Laws" The term "By-Laws" means the By-Laws of the
FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Susan F. Axelrod will leave FINRA for other opportunities in the private sector after 28 years of service at the organization and its predecessor, NYSE Regulation. Axelrod has served as FINRA’s Executive Vice President for Regulatory Operations since 2013, where she has been responsible for leading the Member
Party Resource Guide for Virtual Pre-Hearing Conferences
On This Page Getting Started What You Need Additional Considerations Confidentiality and Security Technology Challenges Preparing for a Virtual Pre-Hearing Conference Commencing a Virtual Pre-Hearing Conference Recording a Virtual Pre-Hearing Conference During a Virtual Pre-Hearing Conference Participant Etiquette Technical Support Effective Practices Location and Background
Pay Fees
The Web CRD system facilitates the collection and disbursement of fees associated with filings processed through the system. The links available on this Web Page provide important information on registration-related fees and payments, as well as guidance with the CRD Accounting functionality.
Notice to Members 01-45
ACTION REQUESTED Required Disclosures For Securities Recommendations Comment Period Expires August 15, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Analyst Disclosures Communication With The Public Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment from National Association of Securities