No member organization may, without the prior written approval of the Exchange, form or acquire a subsidiary company. The member organization shall require such subsidiary to comply with the following provisions.
Supplementary Material: --------------
Information Regarding Subsidiary Companies of Member Organizations
.10 Definition of subsidiary
For purposes of this rule, the term "
(a) Service on Each PartyAn order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator
Sec. 8.2 (a) A district within its respective region, as established under Section 8.1, shall elect no fewer than six Regional Committee members to serve on the Regional Committee for its respective region, unless otherwise provided by resolution of the Board. A Regional Committee shall consist of no fewer than five and no more than 20 members, unless otherwise provided by resolution of
Any person who wishes to communicate with the Board of Governors, including the Chairperson, any committee of the Board, or any Governors, either individually or as a group, may send correspondence to:
[email protected]
or
FINRA Board of Governors
c/o: Office of the Corporate Secretary
1700 K Street, NW
Washington, DC 20006
The correspondence should indicate for
For the period of 5/1/2025 through 5/31/2025AASPIDA FINANCIALASPIDA FINANCIAL DISTRIBUTORS, LLC2327 ENGLERT DR., DURHAM, NC 27713MAILING ADDRESS: ENGLERT DR, 2327, DURHAM, NC 27713ADMITTEDBBCS GLOBAL MARKEBCS GLOBAL MARKETSNAME CHANGED TO: THE ULTIMA GLOBAL MARKETS (USA), INC.BCS GLOBAL MARKETHE ULTIMA GLOBAL MARKETS (USA), INC.NEW NAME OF: BCS GLOBAL MARKETSBSG SECURITIES,BSG SECURITIES, LLC1000
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application
(a) Notice of Suspension or CancellationIf a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with an arbitration award or a settlement agreement related to an arbitration or mediation under Article VI, Section 3 of the FINRA By-Laws or a FINRA order of restitution or FINRA settlement agreement providing for restitution, FINRA staff
(a) Majority Decision
Within 60 days after the final date allowed for filing proposed findings of fact, conclusions of law, and post-hearing briefs, or by a date established at the discretion of the Chief Hearing Officer, the Hearing Officer shall prepare a written decision that reflects the views of the Hearing Panel or, if applicable, the Extended Hearing Panel, as determined by majority
For the period of 6/1/2025 through 6/30/2025AARQ SECURITIESARQ SECURITIESNAME CHANGED TO: LIQUIDITY.IO, LLCARQ SECURITIESLIQUIDITY.IO, LLCNEW NAME OF: ARQ SECURITIESBBLUE QUARTZ INVEBLUE QUARTZ INVESTMENTS6424 DASH POINT BLVD NE, TACOMA, WA 98422ADMITTEDBRIDGEWAY SECURIBRIDGEWAY SECURITIES1 CHISHOLM TRAIL RD, SUITE 450, ROUND ROCK, TX 78681ADMITTEDCCAPTIVEX SECURITCAPTIVEX SECURITIES LLC67 HOLLY
