Nominees for FINRA Board of Governors
During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.
(a) Definitions
For the purposes of this Rule, the following terms shall have the stated meanings:
(1) Affiliate — when used with respect to a member or sponsor, shall mean any person which controls, is controlled by, or is under common control with, such member or sponsor and includes:
(A) any partner, officer or director (or person performing similar functions) of (i) such member or sponsor,
INFORMATIONAL
Terrorist Activity
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
Sec. 4. (a) The Board may appoint an Executive Committee, which shall, to the fullest extent permitted by the General Corporation Law of the State of Delaware and other applicable law, and subject to the Restated Certificate of Incorporation and these By-Laws, have and be permitted to exercise all the powers and authority of the Board in the management of the business and affairs of the
Sec. 4.11 (a) An annual meeting of the Board shall be held for the purpose of organization, election of officers, and transaction of any other business. If such meeting is held promptly after and at the place specified for the annual meeting of the stockholder, no notice of the annual meeting of the Board need be given. Otherwise, such annual meeting shall be held at such time and place
Summary
This Notice provides information to assist market participants in understanding the short sale volume data published on FINRA’s website. FINRA is aware that some market participants, including investors, may occasionally perceive the percentage of short sale volume to be unusually high or inconsistent with reported short interest data. This perception may cause market participants to
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports