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Trade Reporting Notice - 7/11/14
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
Election Notice - 4/27/15
Upcoming FINRA Board of Governors Election
Trade Reporting Notice – 4/3/17
FINRA Updates the Transparency Services FINRA Participant Agreement
Election Notice 10/16/13
Notice of SFAB Election and Ballots
Election Notice - 9/5/12
Upcoming Election to Fill FINRA District Committee Vacancies
Regulatory Notice 19-37
Summary The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.1 These changes become effective on January 1,
Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Regulatory Notice 18-21
SEC Approves Amendments to Arbitration Codes to Provide an Additional Hearing Option in Simplified Arbitration
Election Notice - 5/6/14
Upcoming FINRA Board of Governors Election
Trade Reporting Notice – 1/20/16
OTC Equity Trading and Reporting in the Event of Systems Issues