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Information Notice - 4/15/11
Continuing Education Planning
Election Notice - 10/19/11
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Information Notice - 5/26/10
DTCC to Provide FINRA Access to Participant Position Reports
Regulatory Notice 09-26
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Election Notice – 9/1/21
Summary The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the North region and one representing the West region.    The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on
Election Notice – 6/21/16
Upcoming FINRA Board of Governors Election
Information Notice 10/2/09
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Notice to Members FYI January 1997
For Your Information
Election Notice - 11/29/11
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
Notice To Members 91-22
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