Summary
FINRA will conduct a Special Meeting of large firms on Monday, October 31, 2022, at 9:00 a.m. ET in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).1
It is important that all eligible large firms be represented by proxy or in person at the
Register for Week I | Register for Week II
Individual Attendee Registration Rates
Week I
July 17 – 22, 2022
Week II
November 14 – 19, 2021
FINRA Member Firm:
$6,500
$6,500
Non-Member Firm:
$7,500
$7,500
Government/Regulator:
$6,500
$6,500
The Neutral Corner - Volume 4—2022
Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
I was born and raised in Eastern Europe during the Cold War when the socialist governments were choosing what is allowed for the individuals. USA became my second homeland because of the freedom of the people to conduct their own business. Individual investor should choose their investments, not regulators. The Financial Industry Regulatory Authority (FINRA) notice from March 8, 2022, seeking
October 3, 2022 Ronald W. Smith Jennifer Piorko Mitchell Corporate Secretary Office of the Corporate Secretary Municipal Securities Rulemaking Board FINRA 1300 I Street NW 1735 K Street NW Washington, DC 20005 Washington, DC 20006-1506 Dear Mr. Smith and Ms. Mitchell: I am the General Counsel of Colliers Securities LLC. I am writing you this letter relating to The Municipal Securities Rulemaking
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First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically
