(a) Composition of Panels
The arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.
(b) Generating Lists
(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will exclude arbitrators from the lists based upon current
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
Agenda*This agenda is subject to change. Monday, May 12 - Pre-Conference2:00 p.m. – 4:30 p.m.Cyber Tabletop Exercise (pre-registration required)5:00 p.m. – 6:30 p.m.New Attendee Reception (pre-registration required)5:00 p.m. – 7:00 p.m.Registration & Information Tuesday, May 137:30 a.m. – 6:00 p.m.Registration & Information8:00 a.m. – 9:30 a.m.Senior
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
(a) Recusal, Withdrawal of Hearing Officer
If at any time a Hearing Officer determines that he or she has a conflict of interest or bias or circumstances otherwise exist where his or her fairness might reasonably be questioned, the Hearing Officer shall notify the Chief Hearing Officer and the Chief Hearing Officer shall issue and serve on the Parties a notice stating that the Hearing
(a) Under the terms of the business arrangement establishing the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago, Nasdaq, Inc., as the Business Member, has a non-exclusive, irrevocable, worldwide, perpetual, royalty-free right and license to use covered market data, consistent with all applicable laws, rules and regulations. Nasdaq, Inc., as
