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Regulatory Notice 08-24
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
The Neutral Corner - Volume 4—2020
The Neutral Corner—Volume 4, 2020 Mission Statement Year End Message Court Upholds Panel’s Authority to Order a Virtual Arbitration Hearing (by Brianna Akerley, Case Administrator, FINRA Dispute Resolution Services, Midwest Region) Virtual Arbitration: Best Practices for COVID Times and Beyond (by Dan Zailskas, Case Administrator, FINRA Dispute Resolution Services, Southeast Region) FINRA
Notice to Members 04-66
GUIDANCEOrder-Routing and Execution SystemsSUGGESTED ROUTINGKEY TOPICSInstitutionalInternal AuditLegal & ComplianceOperationsSenior ManagementSyndicateSystemsTrading OperationsOrder-Routing and Execution SystemsRule 3010Rule 3310 and IM-3310SupervisionTrading and Market Making Systems Executive SummaryIn recent months, there have been several instances
Removal
Sec. 4.6  Any or all of the Directors may be removed from office at any time, with or without cause by the stockholder of FINRA Regulation. Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009. Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
Interpretive Letter to Name Not Public
Affirmative determination for short sales under NASD Rule 3370.<br/>
Broker Dealer Firms We Regulate - M
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M STEVENS SECURITIES, LLC3753 HOWARD HUGHES PARKWAY, SUITE 200, LAS VEGAS, NV 89169M&amp;A SECURITIES GROUP, INC.4151 N. MULBERRY DRIVE, SUITE 252, KANSAS CITY, MO 64116M
District 8 - Chicago - Half-Day Compliance Bootcamp
June 4th, 2019 9 a.m. - 1:30 p.m. FINRA District Office 55 West Monroe Street Chicago, IL 60603 (312) 899-4400 Topics Vetting New Products and Supervising Complex Products Outside Business Activities and Private Securities Transactions Register - $195
Regulatory Notice 13-25
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Notice To Members 92-45
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal &amp; Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/