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Notice to Members 99-87
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Regulatory Notice 13-16
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Information Notice - 7/1/24
FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG
Notice to Members 01-43
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 District Committees and the District Nominating
Notice to Members 99-89
INFORMATIONAL District Committees And District Nominating Committees SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management District Committee Membership The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Regulatory Notice 12-36
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
The Report of the Independent Review of FINRA's Dispute Resolution Services – Arbitrator Selection Process
The Audit Committee of the FINRA Board of Governors engaged Lowenstein Sandler LLP to conduct an independent review in connection with a Fulton County, Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC. The Court of Appeals of Georgia reversed the Fulton County, Georgia Superior Court decision finding no evidence of an agreement between Wells Fargo and FINRA. Furthermore, the Court of Appeals of Georgia found nothing that indicated Wells Fargo manipulated the arbitrator pool in the subject arbitration.
Notice to Members 00-60
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
Notice to Members 00-32
INFORMATIONAL Decimalization SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Options Registered Representatives Senior Management Technology Trading & Market Making Decimalization     Executive Summary     The Securities and Exchange Commission (