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(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc
FINRA Committed to Enhancing Diversity of Arbitrator and Mediator Pool; Providing Greater Transparency into Arbitrator Demographic Makeup
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that FINRA’s Office of Dispute Resolution is holding an arbitrator and mediator recruitment event at the Congressional Black Caucus Foundation Annual Legislative Conference in
SUGGESTED ROUTING
Senior Management
Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about November 16, 1998
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an amendment to Appendix F
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing the views of the Corporate Financing Committee on questions that members frequently ask when they are involved in offerings of securities to be conducted pursuant to SEC Rule 415
Rulemaking items discussed at the September Board meeting include: communications with the public, non-public arbitrator definition and sending arbitrator selection lists to parties.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 27, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comment by members and other interested persons proposed amendments to the NASD By-Laws and Code of Procedure that would establish procedures for extended hearings in disciplinary actions before the NASD. These amendments would
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or accurately report certain large options positions and for related supervisory deficiencies.
Summary
FINRA will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).1 A formal notice of the special meeting, including the precise date, time and location, will be mailed to executive representatives on or about October 10, 2022.
The purpose of this