Displaying 3501 - 3510 of 4040 Results
Elections and How they Work
Interested in Serving on FINRA's Committees?Fill out this form to let us know.Learn MoreSFAC and Regional Committee ElectionsSmall Firm Advisory Committee The Small Firm Advisory Committee (SFAC) ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by FINRA staff the FINRA Board of Governors (Board). The SFAC generally
Notice To Members 95-27
SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Operations Syndicate Trading Training Executive Summary As a result of recent amendments to the Free-Riding and Withholding Interpretation of the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice, the NASD revised the questionnaire that is used to review
Notice to Members 98-16
SUGGESTED ROUTING Senior Management Government Securities Legal & Compliance Registration Training     Executive Summary     On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
Regulatory Notice 13-36
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
Regulatory Notice 13-32
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Remarks From the SIFMA Complex Products Forum
Good afternoon and thank you for the invitation to join you this afternoon.
Section 4 — Fees
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws. (2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
Section 4 — Fees
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws. (2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule
Election Notice - 9/3/10
FINRA Small Firm Advisory Board Election