FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2023; and
a summary of how eligible individuals can become
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) General Requirement for Motions
A Party may make a written or oral motion, subject to limitations set forth below. A Party or other person may make a motion under
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons.
(3) Control
The term "control
(a) General Requirement for Motions
A Party may make a written or oral motion, subject to limitations set forth below. A Party or other person may make a motion under Rule 9146(k), subject to limitations set forth below.
(b) Adjudicator May Require a Written Motion
If a Party makes an oral motion, an Adjudicator may order that such motion be set forth in writing, after considering the facts
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
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Ms. Marcia E. Asquith, Executive Vice President Financial Industry Regulatory Authority, Inc. 1735 K Street, NW Washington, DC 20006-1500 Re: FINRA Regulatory Notice 22-08 (the “Notice”) Dear Ms. Asquith: Defiance ETFS, LLC (“Defiance”), appreciates the opportunity to comment on the Notice. We commend the Financial Industry Regulatory Authority (“FINRA”) for reminding members of their current
(a) GeneralA member designated as a Restricted Firm shall be required, except as provided in paragraphs (e) and (f) of this Rule, to establish a Restricted Deposit Account and deposit in that account cash or qualified securities with an aggregate value that is not less than the member's Restricted Deposit Requirement, and shall be subject to such conditions or restrictions on the
