FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
April 12, 1988
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 12, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice (Appendix A), which contains the NASD's margin maintenance rules. The proposed amendments will update the NASD's margin maintenance rules to
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Effective Date for Required Use of TRACE for Treasuries Modifiers
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Executive Summary
FINRA will conduct its Annual Meeting of firms on Monday, August 19, 2019, at 9:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
It is important that all eligible firms be represented
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 16, 2013
