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(a) Chief Hearing Officer Selection Alternatives
Following a determination of whether a Hearing Panel or an Extended Hearing Panel should be appointed, the Chief Hearing Officer shall determine:
(1) which Regional Committee shall be the Primary Regional Committee from which Panelists may be selected; and
(2) whether one of the Panelists may be selected from the Market Regulation
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
This Guidance assists member firms with continuing membership applications (CMAs) as part of the implementation of a succession plan or an exit from the broker-dealer securities business (which may or may not be connected to a succession plan).
Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Exemptive relief is granted based on the following considerations: (1.) the de minimis nature of the Contribution mitigates the probability that the payment will improperly influence issuer officials; (2.) the Contribution was made by an individual who has never been employed in the municipal securities business.
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
Comment Period Expires August 1, 1995
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Senior Management
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Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
