Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the North and West Regions as of the close of business on October 18, 2021, are eligible to vote in these elections.
Ballots are
Equity Securities as Compensation for Capital Acquisition Brokers
FINRA Rule 2360(b)(3)(B) provides that "...no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee therof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such
INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
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
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations Managers
Senior Management
Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
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Summary
The annual meeting of FINRA firms will take place on or about Friday, August 19, 2022, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 20, 2022.
The purpose of this Election
