Notice of SFAB Election
and Ballots
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Summary
The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
If you have general questions
New Series 51 Examination
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
New Rate for Fees Paid Under Section 31 of the Exchange Act
Notice of Special Meeting of Large Firms and Proxy
TO: All NASD Members and Other Interested Persons
BACKGROUND
The securities industry, in late 1983, asked the North American Securities Administrators Association (NASAA) to review the registration delays resulting from agent transfers between broker-dealers. After extensive deliberations by the NASAA/CRD Committee and its NASD advisors, a Temporary Agent Transfer program was developed by the
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.
