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Notice to Members 96-16
The delivery of Continuing Education Regulatory Element and Qualifications Examinations is now available at the following remote sites on the dates specified   Alaska Anchorage March 19-21 June 11-13   California Bakersfield
2015 Dispute Resolution Statistics
ON THIS PAGE Arbitration Statistics Through December Historical Statistics for Cases Filed and Closed Top 15 Controversy Types in Customer Arbitrations Top 15 Security Types in Customer Arbitrations Top 15 Controversy Types in Intra-Industry Arbitrations How Arbitration Cases Close Results of Customer Claimant Arbitration Award Cases Results of All-Public
Small Firm Advisory Committee (SFAC)
The Small Firm Advisory Committee (SFAC) is an advisory committee established by the NASD Board of Governors in 1998. The SFAC ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by the FINRA Board of Governors. The SFAC reviews and comments on all new and amended FINRA rule proposals, and provides guidance to FINRA staff regarding the potential impact of proposed regulatory initiatives on FINRA's small firms.
Notice To Members 95-1
Comment Period Expires On March 1, SUGGESTED ROUTING Senior ManagementAdvertisingLegal & Compliance Executive Summary At its November 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comments on the National Arbitration Committee's (Committee or NAC) recommendation to establish an NASD Mediation Program to resolve
Regulatory Notice 17-38
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
2016 Dispute Resolution Statistics
ON THIS PAGE Arbitration Statistics Through December Historical Statistics for Cases Filed and Closed Top 15 Controversy Types in Customer Arbitrations Top 15 Security Types in Customer Arbitrations Top 15 Controversy Types in Intra-Industry Arbitrations How Arbitration Cases Close Results of Customer Claimant Arbitration Award Cases Results of All-Public Panels and Majority
Notice to Members 97-87
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Trading     Executive Summary     As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign
Monthly Disciplinary Actions June 1996
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section. Firm Fined, Individual Sanctioned Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
Election Notice - 7/30/10
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Election Notice - 10/23/2023
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10