Notice of Annual Meeting of FINRA Firms and Proxy
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Notice of FINRA District Committee Elections and Ballots
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
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Senior Management
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Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
Testimony Before the Committee on Financial Services
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
