New Rate for Fees Paid Under Section 31 of the Exchange Act
Summary
The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Upcoming Election to Fill FINRA District Committee Vacancies
INFORMATIONAL
Primex Auction System
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Trading Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and Nasdaq® Boards have agreed to establish the Primex Auction SystemTM, a new trading system designed to
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Special Election to Fill a FINRA Large Firm Governor Vacancy
Continuing Education Planning
