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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
Notice to Members FYI October 2002
Important Information Regarding Annual Audited Report
Information Notice - 3/10/08
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act; Effective Date: April 1, 2008
Notice to Members November 1998
Year 2000 Update
Election Notice – 7/23/18
Notice of Annual Meeting of FINRA Firms and Proxy
Notice To Members 90-67
SUGGESTED ROUTING* Senior Management Internal Audit Operation Trading *These are suggested departments only. Others may be appropriate for your firm. On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
Notice to Members 03-03
Dispute Resolution Office Relocation SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Dispute Resolution Executive Summary NASD Dispute Resolution announces the relocation of its New York headquarters office and Northeast Regional Office to: One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006 Telephone: (212) 858-4400 Facsimile
Regulatory Notice 21-22
Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA SUPPORT” with the email address “[email protected]”. The email asks the recipient to pay attention “to the report attached below that requires your immediate response” and states that “[t]he attachment contains our updated Public Policy
Notice to Members 06-65
GUIDANCE Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing
Notice to Members 06-49
INFORMATIONAL Dispute Resolution SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Arbitration Dispute Resolution Regional Offices Mediation Executive Summary Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute Resolution Office. All arbitration cases currently assigned to the Mid-Atlantic Region will continue to be