Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently
New Rate for Fees Paid Under Section 31 of the Exchange Act
GUIDANCE
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Executive Representatives
Legal & Compliance
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Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
Small Firm Advisory Board Runoff Election
New Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA Small Firm Advisory Board Election
Executive Summary
The annual meeting of FINRA firms will take place on or about Tuesday, August 22, 2017, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 21, 2017.
Eligible individuals who have
Guidance for Firms Potentially Affected by Hurricane Isaac
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
