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
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Capital Acquisition Broker (“CAB”) Rule 331 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network’s (“FinCEN”) adoption of a final rule on Customer Due Diligence Requirements for Financial
Ms. Jennifer Piorko Mitchell Office of theCorporate Secretary FINRA1700 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear Ms. Mitchell,As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290
Confidentiality is the cornerstone of the Ombuds practice. Your identity — and the matters you bring to our attention — are protected. When you contact FINRA's Office of the Ombuds, you can expect to talk to someone who will listen attentively to your concerns.
Ms. Jennifer Piorko Mitchell Office of the CorporateSecretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,Asan owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear Ms. Mitchell,As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290
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Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
