U.S. Treasury Security Auction Awards
Covered Agency Transactions
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Margin Department
Operations
Regulatory Reporting
Risk Management
Senior Management
Key Topics
Covered Agency Transactions
Margin
Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
Notice of Annual Meeting of FINRA Firms and Proxy
Guidance on FOCUS Reporting for Operating Leases
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Special Election to Fill FINRA Large Firm Governor Vacancy
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Upcoming FINRA Board of Governors Election
