The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Executive SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats
Rule 4111 Compliance Tool – Lists of Expelled FirmsFINRA Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as Restricted Firms to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. Rule 4111 establishes a multi-step, annual process through which
A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656A.G. QUINTAL INVESTMENT COMPANY INC.2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316A.G.P. / ALLIANCE GLOBAL PARTNERS88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880A5 SECURITIES LLC375 WEST END AVE UNIT 10D,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit
C&C TRADING L.L.C.35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830C. L. KING & ASSOCIATES, INC.NINE ELK STREET, ALBANY, NY 12207C2M SECURITIES, LLC7315 THREE CHOPT ROAD, RICHMOND, VA 23226CABIN SECURITIES, INC.6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223CABOT LODGE SECURITIES LLC425 N MARTINGALE RD, SUITE 1220, SCHAUMBURG, IL 60173CABRERA CAPITAL MARKETS, LLC227 W.
P & M CORPORATE FINANCE, LLC10 SOUTH RIVERSIDE PLAZA, 9TH FLOOR, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE
R. F. LAFFERTY & CO., INC.40 WALL STREET, 29TH FLOOR, NEW YORK, NY 10005R. SEELAUS & CO., LLC26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928R.J. O'BRIEN SECURITIES, LLC222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606Mailing Address: 222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606R.M. DUNCAN SECURITIES, INC.10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205R.M
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.K. WALLACE SECURITIES LLC25 WEST 13TH STREET, APT. 1AN, NEW YORK
I-BANKERS SECURITIES, INC.1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432I5EQUITY1700 MONTGOMERY STREET, SUITE 108, SAN FRANCISCO, CA 94111Mailing Address: 1700 MONTGOMERY ST, SUITE 108, SAN FRANCISCO, CA 94111IA GLOBAL CAPITAL LLC101 PARK AVENUE, 38TH FLOOR, NEW YORK CITY, NY 10178Mailing Address: 244 MADISON AVENUE, #385, NEW YORK CITY, NY 10016IA SECURITIES (USA) INC.26 WELLINGTON STREET
