April 2014 Supplement to the Security Futures Risk Disclosure Statement
Executive SummaryThe 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 following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
Comment Period Expired: March 31, 2017
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA, Inc. (referenced as "FINRA"), the Registered Section 15A Association, is the parent company of FINRA Regulation, Inc. (referenced individually as "FINRA Regulation") and FINRA CAT, LLC (referenced individually as "FINRA CAT") (referenced collectively as the "Subsidiaries"). The term "Association" shall refer to FINRA and the Subsidiaries
Nominees for the District Committees and District Nominating Committees
Nominees for the District Committees and District Nominating Committees
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
Election Results for District Committees and District Nominating Committees
