SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to:
encourage member firms and other interested parties
Nomination and Election Process to Fill FINRA District Committee Vacancies
Notice of FINRA District Committee Elections and Ballots
Upcoming Election to Fill FINRA District Committee Vacancies
Notice of FINRA District Committee Elections and Ballots
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on proposed amendments to the Corporate Financing filing requirements which would exempt from those requirements all debt and equity securities registered with the Securities and Exchange Commission ("SEC" or "
Upcoming Election to Fill FINRA District Committee Vacancies
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
Upcoming Election to Fill FINRA District Committee Vacancies
