New Rate for Fees Paid Under Section 31 of the Exchange Act
Annual FINRA Election Cycle and Procedures Overview
Notice of SFAB Election and Ballots
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA Small Firm Advisory Board Election
FINRA Announces Results of SFAB, NAC and District Committee Elections
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
Change for Scheduling Exam and CE Sessions
