Displaying 8811 - 8820 of 9386 Results
Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Information Notice - 3/1/12
Revised Fee for Fingerprint Processing
Notice to Members FYI December 2002
NASD Reminds Firms
Election Notice – 3/9/17
Special Election to Fill FINRA Large Firm Governor Vacancy
Election Notice - 12/8/08
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
Election Notice - 7/20/09
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Regulatory Notice 21-39
Summary FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
Notice to Members December 1998
Year 2000 Update
Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Information Notice - 3/8/12
New Rate for Fees Paid Under Section 31 of the Exchange Act