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Notice to Members 07-26
GUIDANCE SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Continuing Education Executive Summary In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in
Regulatory Notice 08-29
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Election Notice 10/16/13
Notice of SFAB Election and Ballots
Information Notice - 11/3/08
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Information Notice - 3/16/09
New Rate for Fees Paid Under Section 31 of the Exchange Act
Election Notice – 9/2/15
FINRA Small Firm Advisory Board Election
Regulatory Notice 08-63
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice to Members October 1998
Year 2000 Update
Election Notice – 8/2/21
Summary FINRA will conduct its Annual Meeting of firms on Wednesday, September 1, 2021, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1 It is important that all
Regulatory Notice 07-56
Continuing Education Regulatory Notice Notice Type Guidance Key Topic(s) Continuing EducationFirm Element Suggested Routing Compliance Continuing Education Legal Registration Senior Management   PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member