Within the following videos, several members of FINRA’s advisory and regional committees, the National Adjudicatory Council (NAC) and the FINRA Board of Governors share their experiences serving on FINRA committees—including an overview of FINRA committee engagement, the benefits of participation and recommendations for how to get involved.What Are FINRA Committees?Members of FINRA’s various
Public GovernorRegional Vice President for Africa, International Finance CorporationGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceRegional Vice President for Africa, International Finance Corporation (2025 – Present)Vice President and Chief Risk, Legal and Administrative officer, Multilateral
As previously communicated, on February 1, 2018, FINRA will introduce two new products: End-of-Day TRACE Transaction File and the TRACE Security Activity Report.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
Symbol*
Company
Location
BCKY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 16, 1985, 21 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,057. These 21 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
CE Inactive Individuals
E-Mail Notifications
Regulatory Element Requirement Windows
Executive Summary
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
It's important to know what you want to accomplish with your investments before you actually invest. Learn how to set your financial goals, get a handle on your cash flow, control spending, manage debt and get on the path to saving and investing.
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