Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
Small Firm Advisory Board Runoff Election
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delete in their entirety the NASD Rule 4000D, 6000D and 7000D Series and the Limited Liability Company Agreement of The NASD/BSE Trade Reporting Facility LLC (the "NASD/BSE TRF LLC
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
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 newly elected District Committee members will serve until 2006.
District 10 (New York)
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 the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
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 inform members of the upcoming nomination and election process to fill forthcoming vacancies on the
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
SEC Approves the CAT Fee Dispute Resolution Process
